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May 03, 2018
NFA bars Rapid City, S.D. commodity trading advisor The Stock Mentor LLC and its principal Brian Kelly Johnson from membership
May 3, Chicago—NFA has permanently barred Rapid City, S.D. commodity trading advisor The Stock Mentor LLC (Stock Mentor) and its principal and associated person, Brian Kelly Johnson, from membership and from acting as a principal of an NFA Member.
The Decision, issued by an NFA Hearing Panel, is based on a Complaint issued by NFA's Business Conduct Committee on March 8, 2018, and a settlement offer submitted by Stock Mentor and Johnson. The Hearing Panel found that Stock Mentor failed to distribute a disclosure document to at least one customer and that Stock Mentor and Johnson used a materially misleading and false disclosure document.