NFA ACTION: Changes Capital Management LLC

NFA Compliance Rule 2-5 provides, in pertinent part, that each Member and Associate shall cooperate promptly and fully with NFA in any NFA investigation, inquiry, audit, examination or proceeding regarding compliance with NFA requirements or any NFA disciplinary or arbitration proceeding. Changes Capital Management LLC and its principal Pinank V. Shah failed to contact the NFA after repeated requests. The NFA subsequently filed a complaint and has permanently barred the them from membership.

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