Andrew Left of Citron Research convicted of fraud and barred from association with the National Futu | CCME Message Board Posts

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Msg  23 of 36  at  2/19/2011 6:55:16 PM  by

mlc178


Andrew Left of Citron Research convicted of fraud and barred from association with the National Futures Association

ANDREW LEFT -


THE PANEL FOUND THAT LEFT MADE FALSE AND MISLEADING STATEMENTS TO CHEAT, DEFRAUD OR DECEIVE A CUSTOMER IN VIOLATION OF NFA COMPLIANCE RULES 2-2(a) AND 2-29(a)(1). LEFT'S CONDUCT WAS INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE.

CONSEQUENTLY, THE PANEL BARRED LEFT FROM ASSOCIATION WITH AND FROM ACTING AS A PRINCIPAL OF ANY NFA MEMBER FOR THREE YEARS; ORDERED HIM TO TAKE AN ETHICS TRAINING COURSE; AND PLACED RESTRICTIONS ON HIS ACTIVITIES FOR TWO YEARS WHICH PREVENT HIM FROM SUPERVISING ANY AP AND REQUIRE HIM TO TAPE RECORD AND LOG ALL CONVERSATIONS WITH CURRENT AND POTENTIAL CUSTOMERS.


Link here:
http://www.nfa.futures.org/BasicNet/Case.aspx?entityid=0244735&case=95BCC00020&contrib=NFA


 
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