NFA bars Mercer Capital By Aaron Siegel January 11, 2007 The National Futures Association barred Introducing Brokers Mercer Capital Management, Mercer Capital Inc. and their principal, Robert L. Flickinger today, according to the NFA.
The decision is based on a complaint by the NFA's business conduct committee, based on a complaint issued on Aug. 30 and a settlement submitted by Boca Raton, Fla.-based MCM, MCI of Portland and Mr. Flickinger.
The complaint charged MCM with failing to maintain the required books and records and failed to initiate an adequate anti-money laundering program.
It also charged that MCI and Mr. Flickinger made deceptive and misleading sales solicitations and employed a high pressure approach.
MCM, MCI and Mr. Flickinger were charged with failing to supervise their employees in the conduct of their futures activities.
The National Futures Association is based in Chicago.
johmond: So proboards wants a contribution now, how about they put back 1MM's......
Feb 24, 2021 18:00:23 GMT -4
mayz: Still here and keeping the faith.
Feb 24, 2021 18:35:01 GMT -4
Jed: Did you ALL know that Proboards was collecting and selling our personal information all these years??? Scroll to the very bottom of the donation page www.proboards.com/contribute See where it says “Do Not Sell My Personal Information"
Feb 24, 2021 20:16:41 GMT -4
narvo: Wondering if anyone here ever knew the shareholder last name Ehmann from the desert area of California? He was a good man and he liked fell off the face of the Earth. I am sensing a bad feeling. He held many shares. Thx, Narvo
Feb 25, 2021 0:20:13 GMT -4
bbildman: 2 Covid Moderna vaccine shot done, nd I am still alive
Feb 25, 2021 16:14:52 GMT -4
narvo: Another link with CMKX in it.QFS Schedule: According to Military Intel Contact Tier 4B should be notified to set redemption/ exchange appointments on Mon. 1 March or Tues. 2 March,though it may happen sooner.QuantumFinancialSystem anonup.com/thread
Feb 28, 2021 0:02:28 GMT -4