COMPLAINTS (Ninjatrader Clearing LLC and Michael Cavanaugh)

Case Documents:

Amended Answer Amended Complaint Amended Decision Amended Notice Of Intent Amended Notice Of Member Responsibility Action Answer Appeals Committee Decision Cftc Decision Cftc Order Circuit Court Appeal Complaint Decision Federal Court Order Final Order Interim Order Nfa Reply Notice Notice And Order Lifting Member Responsibility Action Notice And Order Lifting Suspension Of Membership Notice And Order Of Suspension Notice Of Appeal Notice Of Associate Responsibility Action Notice Of Intent Notice Of Member Responsibility Action Notice Of Suspension Of Membership Notice Of Termination Of Ara Notice Of Termination Of Member Responsibility Action Order Order Denying Petition Order Lifting Conditions Order Of Dismissal Petition To Stay Response To Amended Notice Of Intent Response To Notice Of Intent Withdrawal Of Notice Of Intent

Narrative Summary:

COMPLAINT:

On November 18, 2024, NFA's Business Conduct Committee (BCC) issued a Complaint against NinjaTrader Clearing LLC (NinjaTrader) and M... ichael Cavanaugh (Cavanaugh). The Complaint charges NinjaTrader with failing to implement an adequate anti-money laundering program, and charges NinjaTrader and Cavanaugh with failing to supervise. Read More.

Rule Type:

• C.R.2-9(a) - SUPERVISION OF EMPLOYEES
• C.R.2-9(c) - ANTI-MONEY LAUNDERING PROGRAM

Committee:

• Business Conduct Committee

Action Type(s):

• GENERAL CONDUCT

Penalty/Event:

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