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Monday, August 22, 2011 11:57:48 PM
(0312871 IFINIX FUTURES INC • FINE $17500 11/02/2009)
"COMPLAINT:
On June 24, 2009, NFA issued a Complaint alleging that IFINIX failed to maintain required minimum ANC and adequate books and records; failed to file notice with NFA; and failed to develop and implement an adequate AML program.
ANSWER:
On July 22, 2009, IFINIX filed an Answer to the Complaint in which the firm denied the material allegations contained therein.
DECISION:
On November 2, 2009, IFINIX was ordered to pay a $17,500 fine."
Thats with no mention of any forged documents.......
Funny thing, This Forrester guy?:
"Mr. Forrester also serves as a dispute resolution arbitrator for both FINRA and the NFA."
I do believe he was brought on prior to these problems with the DTCC and now NFA... With that kind of knowledge and experience one would think that certain problems could/should have been avoidable, no?
Something kinda stankin in burnt birdie land!!!!
IMO of course......
:)
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