NFA - National Futures Association
01/26/2026 | Press release | Distributed by Public on 01/26/2026 12:36
DECISION IN DISCIPLINARY CASES (Pernix Capital LLC)
Case Documents:
Amended Answer Amended Complaint Amended Decision Amended Notice Of Intent Amended Notice Of Member Responsibility Action Answer Appeals Committee Decision Cftc Decision Cftc Order Circuit Court Appeal Complaint Decision Federal Court Order Final Order Interim Order Nfa Reply Notice Notice And Order Lifting Member Responsibility Action Notice And Order Lifting Suspension Of Membership Notice And Order Of Suspension Notice Of Appeal Notice Of Associate Responsibility Action Notice Of Intent Notice Of Member Responsibility Action Notice Of Suspension Of Membership Notice Of Termination Of Ara Notice Of Termination Of Member Responsibility Action Order Order Denying Petition Order Lifting Conditions Order Of Dismissal Petition To Stay Response To Amended Notice Of Intent Response To Notice Of Intent Withdrawal Of Notice Of IntentNarrative Summary:
COMPLAINT:
On December 7, 2022, NFA's Business Conduct Committee (BCC) issued a Complaint against Pernix Capital, LLC (Pernix), charging Pernix... with failing to timely file quarterly and annual pool reports with NFA.
DECISION:
On February 1, 2023, NFA's BCC issued a Decision accepting Pernix's settlement offer and ordering Pernix to pay a $15,000 fine. Read More.
Rule Type:
- C.R.2-13 - RECORDKEEPING FOR CPOS/CTAS
- C.R.2-46 - CPO QUARTERLY REPORTING REQUIREMENTS
Committee:
- Business Conduct Committee
Action Type(s):
- FINANCIAL POSITION AND REPORTING
- GENERAL CONDUCT
Penalty/Event:
- FINE $15,000
NFA - National Futures Association published this content on January 26, 2026, and is solely responsible for the information contained herein. Distributed via Public Technologies (PUBT), unedited and unaltered, on January 26, 2026 at 18:36 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]