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NOTICE OF INTENT TO REVOKE REGISTRATION:
On September 26, 2012, NFA notified Vincent Capital Group LLC (VCG) that it intended to revoke its registration under Section 8a(3)(N) of the Commodity Exchange Act (Act) for having an unfit principal because one of the firm's pending principals - Dale Francis (Francis) - failed to disclose a material fact on his registration application.
FINAL ORDER CONDITIONING REGISTRATION:
On March 6, 2013, NFA's Membership Committee accepted VCG's settlement offer and issued a Final Order in which it allows VCG to remain registered as long as the firm supervises Frances subject to certain conditions for a period of two years. |