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期货和衍生品行业监管动态

adequately supervise the firm’s operations and employees, in violation of NFA

Compliance Rule 2-9(a).

The Hearing Panel’s Decision also ordered Timothy Francis Hendricks

(Hendricks), a principal and AP of XFA, to share liability with the firm, jointly and

severally, for $100,000 of the $400,000 fine. The Decision further ordered Hendricks

not to act in a supervisory capacity for XFA or any other NFA Member for a period of

90 days.

In a separate Decision, the Hearing Panel ordered Peter Gordon Scheffler

(Scheffler), a former principal and AP of XFA, not to reapply for NFA membership,

associate membership or principal status through December 31, 2024, and to pay a

$150,000 fine if he subsequently seeks NFA membership or principal status. The

Decision further ordered Scheffler not to be employed as a supervisor by, or act in a

supervisory capacity for, any NFA Member through March 31, 2025.

The Hearing Panel’s Decisions against Hendricks and Scheffler are based on the

same Complaint issued by the BCC against XFA and settlement offers submitted by

Hendricks and Scheffler, in which they neither admitted nor denied the allegations in

the Complaint. The Decisions each found that Hendricks and Scheffler failed to

adequately supervise the firm’s operations and employees, in violation of NFA

Compliance Rule 2-9(a).

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