|COPIES OF DOCUMENTS LISTED BELOW ARE AVAILABLE UPON REQUEST:
Notice of Intent to Deny Registration:
On March 15, 2013, NFA's President issued a Notice of Intent to Deny Registration to Alex J. Matturro. The Notice of Intent alleged that Matturro failed to disclose his 1993 guilty pleas to two felony offenses on his registration application, which he verified on September 21, 2012. The Notice of Intent charged that Matturro's failure to disclose that he pled guilty to two felony offenses on his September 2012 registration application may constitute two separate bases to disqualify him from registration under Section 8a(2)(G) of the Commodity Exchange Act. To view the Notice of Intent, go to Case Documents. To obtain a copy, contact NFA's Information Center.
Final Order Granting Conditional Registration:
On March 15, 2013, a Subcommittee of NFA's Membership Committee issued a Final Order Granting Conditional Registration to Matturro after accepting his settlement offer. The Final Order becomes effective on April 15, 2013. The conditions on Matturro's AP registration automatically expire after two years. To view the Final Order, go to Case Documents. To obtain a copy, contact NFA's Information Center.