NFA ACTION: Windsor Wealth Management LLC

The NFA issued a Complaint charging Windsor Wealth Management LLC with failing to list Anthony S. Bobba, formally principal of the Pioneer Commodities LLC, as a principal of Windsor; allowing equity withdrawals when Windsor’s adjusted net capital was under the equity withdrawal restriction; failing to calculate net capital properly; failing to maintain its required minimum adjusted net capital requirement; failing to maintain current books and records; and of churning accounts. The Complaint further charged Windsor with providing false information to NFA regarding customer complaints received by Windsor.

About The Author

Felix Shipkevich

Felix Shipkevich is a Manhattan-based attorney and general counsel for Shipkevich Law Firm. He has extensive experience working with the CFTC and NFA on registration, compliance, and enforcement issues for CPOs, CTAs, FCMs, IBs, and RFEDs. Felix also practices intellectual property and corporate governance law.