NOTICE OF DISCIPLINARY ACTION

FILE NO.:

CME 10-7858-BC

NON-MEMBER:

Courtney Holladay

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.

FINDINGS:

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.

PENALTY:

Based on the record and the Panel’s findings and conclusions, the Panel issued a reprimand against Courtney Holladay.

EFFECTIVE DATE:

June 12, 2012