BENTLEY TRADING GROUP, INC
CASE OUTCOME: FINE (JOINTLY AND SEVERALLY) $100,000 • PERMANENT BAR FROM NFA MEMBERSHIP

0321531

• MIZNER FINANCIAL TRADING CORP 10/12/2006
• HEATH PECK
• STEVEN EDWARD SCHULTZ
• MICHAEL LOUIS STOKES
• HARRY ROBERT TANNER JR
• TERRANOVA FINANCIAL TRADING CORP
• PAUL MARTIN ZEDECK

Complaint:
On May 25, 2005, NFA issued a Complaint charging Bentley, TFT, Mizner, Tanner, Stokes, Zedeck, Peck and Schultz with making deceptive and misleading sales solicitations. In addition, the Complaint charged TFT, Mizner, Stokes and Zedeck with using a high-pressure approach. The Complaint charged TFT, Mizner, Tanner and Zedeck with failing to diligently supervise employees and agents in the conduct of their commodity futures activities.

Decision:
On September 27, 2006, Bentley, TFT and Mizner were permanently expelled from NFA membership and Tanner was permanently expelled from association with any NFA Member. In addition, Bentley, TFT, Mizner and Tanner were ordered to pay a $100,000 fine and are jointly and severally liable for full payment of the fine.

Source: National Futures Association

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