ARTICLE
15 March 2017

NFA Bars CTA From Membership For Failing To Submit To Business Conduct Examination

CW
Cadwalader, Wickersham & Taft LLP

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Cadwalader, established in 1792, serves a diverse client base, including many of the world's leading financial institutions, funds and corporations. With offices in the United States and Europe, Cadwalader offers legal representation in antitrust, banking, corporate finance, corporate governance, executive compensation, financial restructuring, intellectual property, litigation, mergers and acquisitions, private equity, private wealth, real estate, regulation, securitization, structured finance, tax and white collar defense.
The NFA permanently barred a commodity trading advisory, Nex Capital Management LLC ("Nex") and its sole principal and associated person, Jacob Wohl...
United States Finance and Banking

The NFA permanently barred a commodity trading advisory, Nex Capital Management LLC ("Nex") and its sole principal and associated person, Jacob Wohl, from membership and from acting as a principal of an NFA member, because Wohl refused to submit Nex to an examination by the NFA Business Conduct Committee.

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