Shipkevich Bitcoin and ICO Attorney
Felix Shipkevich April 21, 2010

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.

Leave a Reply