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.

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Stay On Top Of The Debt Relief Industry's Regulatory Landscape

On November 6-7, 2022, Shipkevich PLLC will be hosting a Regulatory Workshop in Costa Mesa, California focusing on the fundamental regulatory issues facing debt relief professionals and how they can adapt.