CME RULE VIOLATION:
Rule 432. General Offenses (in part)
It shall be an offense:
L.1. to fail to appear before the Board, Exchange staff or any investigative or hearing committee at a duly convened hearing or in connection with any investigation.
After Holladay failed to answer the charge issued against her, on April 4, 2012, a Panel of the CME Business Conduct Committee (“Panel”) entered a default finding that Courtney Holladay, an employee of a Member, refused CME Group, Inc. Market Regulation’s request that she participate in a recorded interview in connection with an investigation. In so doing, Holladay violated CME Rule 432.L.1.
Based on the record and the Panel’s findings and conclusions, the Panel issued a reprimand against Courtney Holladay.
June 12, 2012
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