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December 10, 2015
NFA bars Robert Hawkes Potter, a former associated person, from membership
December 10, Chicago—National Futures Association (NFA) has permanently barred Robert Hawkes Potter from membership and from acting as a principal of an NFA Member. Potter was an associated person of Cambria Capital LLC, an NFA Member introducing broker in Salt Lake City, Utah.
The BCC found that Potter acted as an unregistered futures commission merchant by accepting customer funds for the purpose of trading, and knowingly misappropriated those funds, using them for personal expenses.