从NFA信息发布中心了解到：

　　2006年8月30日，NFA指控SPENCER FINANCIAL LLC (简称Spencer)，使用引入歧途的促销产品;使用引入歧途的促销产品与非NFA会员做生意；未能开发和实施一个充分的AML程序；未能指出 Alexander Teplitsky and Eugene Teplitsky 是主谋；未能及时地向NFA递交财政报告；未能立案通知将净资本大幅减少；同时控告Spencer，Jasinski和kholostoy疏忽监督。
　　
　　2006年9月22日，Spencer对以上指控给以完全否认。
　　
　　2006年11月13日，Spencer下令退出NFA，将永远不得申请成为NFA成员。
　　
　　原文：

　　**To view documents, go to Case Documents. For a copy of Documents, contact NFA's Information Center.**

　　COMPLAINT:
　　
　　On August 30, 2006, NFA issued a Complaint charging Spencer with using misleading promotional material; using misleading promotional material of non-members with which Spencer does business; failing to develop and implement an adequate AML program; failing to list Alexander Teplitsky and Eugene Teplitsky as principals; failing to file financial statements with NFA in a timely manner; and failing to file notices of substantial reductions in net capital. The Complaint also charged Spencer, Jasinski and Kholostoy with failure to supervise. 　　
　　
　　ANSWER:
　
　　On September 22, 2006, Spencer filed an Answer to the Complaint denying the material allegations contained therein.
　　
　　DECISION:
　　
　　On November 13, 2006, Spencer was ordered to withdraw from NFA membership and never again reapply for NFA membership or act as a principal of an NFA member.