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NFA orders New York-based firm Hardee Brothers LLC and its principal to withdraw from and not reapply for NFA membership
July 22, Chicago—NFA has ordered Hardee Brothers LLC, an NFA Member commodity pool operator and commodity trading advisor in New York, N.Y., to withdraw from and not reapply for NFA membership or principal status with an NFA Member at any time in the future. NFA also ordered Sidney Curtis Hardee, an associated person and principal of Hardee Brothers, to withdraw from and not apply for NFA membership or reapply for NFA associate membership or principal status with an NFA Member at any time in the future.
NFA orders London, U.K. introducing broker Marex Spectron International Limited to pay a $350,000 fine
June 30, Chicago—NFA has ordered Marex Spectron International Limited, an NFA Member introducing broker located in London, U.K., to pay a $350,000 fine.
SEC and NFA announce Memorandum of Understanding to further harmonize regulatory coordination
May 21, Washington, D.C.—SEC and NFA announce Memorandum of Understanding to further harmonize regulatory coordination
NFA takes emergency enforcement action against Wilton, Conn. commodity pool operator Vespula Capital Management LLC
May 20, Chicago—NFA has taken an emergency enforcement action against Vespula Capital Management, LLC, an NFA Member commodity pool operator located in Wilton, Connecticut. NFA's action also names Joel Kirkham Johnson, a principal and the sole associated person of Vespula and an NFA Associate located in Orem, Utah.
NFA orders Colorado-based commodity trading advisor Metanoeo Capital LLC to withdraw from and not reapply for NFA membership
April 27, Chicago—NFA has ordered Metanoeo Capital LLC, an NFA Member commodity trading advisor (CTA) in Fort Collins, Colo., to withdraw from and not reapply for NFA membership or principal status with an NFA Member at any time in the future. NFA has also ordered Joshua David Schuler, an associated person and principal of Metanoeo, to withdraw from and not apply for NFA membership or reapply for NFA associate membership or principal status with an NFA Member at any time in the future.
