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.
Share this post
Share on facebook
Share on twitter
Share on linkedin
Share on pinterest
Share on print
Share on email