Futures Commission Merchant News

NFA Regulatory Actions

Posted on 2009-07-02 02:00:06

TradeLink LLC

Final Order - 09REG00012


NFA Regulatory Actions

Posted on 2009-07-01 03:00:04

Patrick Devarso

Final Order - 09REG00009


NFA Regulatory Actions

Posted on 2009-06-30 02:00:07

SNC Investments Inc.

Decision - 09BCC00005


NFA News Releases

Posted on 2009-06-30 02:00:06

NFA takes emergency enforcement action against Texas firm, Strongbow Investments GP LLC

June 25, Chicago - National Futures Association (NFA) announced today that it has taken an emergency enforcement action against Strongbow Investments GP LLC (Strongbow), a Commodity Pool Operator and Commodity Trading Advisor located in Austin, Texas.


NFA News Releases

Posted on 2009-06-09 03:00:02

NFA takes emergency enforcement action against Texas commodity trading advisors and their presidents

June 4, Chicago - National Futures Association (NFA) announced today that it has taken an emergency enforcement action against M25 Investments, Inc. (M25), M37 Investments LLC (M37), David P. Fearis, III, president of M25 and director of M37, and Ronald L. Larson, president of M37.


NFA Regulatory Actions

Posted on 2009-06-09 03:00:02

M25 Investments, Inc., M37 Investments LLC, David P. Fearis and Ronald L. Larson

Member Responsibility Action - 09MRA00004


NFA News Releases

Posted on 2009-06-04 02:00:03

NFA bars California futures firm Coastline Trading Group LLC and its principal, associated persons

June 3, Chicago - National Futures Association (NFA) has effectively barred Coastline Trading Group LLC (Coastline), an Introducing Broker located in Huntington Beach, California, Michael W. Greenberg, president of Coastline, and Michael P. Melikian, an associated person of Coastline, from NFA membership.


NFA Regulatory Actions

Posted on 2009-06-02 02:00:03

Coastline Trading Group LLC, Michael W. Greenberg and Michael P. Melikian

Decision - 08BCC00033


NFA Regulatory Actions

Posted on 2009-05-22 03:00:03

Michael S. Clark

Final Order - 09REG00006


NFA News Releases

Posted on 2009-05-20 03:00:02

NFA permanently expels Lake Shore Asset Management Ltd. from membership

May 19, Chicago - National Futures Association (NFA) has permanently expelled Lake Shore Asset Management Limited (Lake Shore) from NFA membership.


NFA Regulatory Actions

Posted on 2009-05-16 02:00:03

Lake Shore Asset Management Limited

Decision - 09BCC00004


NFA Regulatory Actions

Posted on 2009-05-09 02:00:03

Brian L. Scott

Final Order - 09REG00005


NFA Regulatory Actions

Posted on 2009-05-05 03:00:02

Alexander Delgado

Final Order - 08REG00021


NFA Regulatory Actions

Posted on 2009-05-02 02:00:03

Global Trading Center LLC (Ricardo Garcia, Jr.)

Decision - 08BCC00026


NFA News Releases

Posted on 2009-04-29 02:00:02

NFA fines I Trade FX LLC $250,000 for failing to implement anti-money laundering program

April 28, Chicago - National Futures Association (NFA) has fined I Trade FX LLC (I-Trade) $250,000 for failing to implement an adequate anti-money laundering (AML) program.


NFA Regulatory Actions

Posted on 2009-04-28 02:00:03

I Trade FX LLC and Isaac Martinez

Decision - 08BCC00014


NFA News Releases

Posted on 2009-04-14 02:00:02

National Futures Association and AARP co-sponsor financial education program during Money Smart Week

April 13, Chicago - National Futures Association (NFA) and AARP will co-sponsor a seminar to advise individuals on how to help make ends meet during the current economic downturn and how to avoid becoming a victim of investment fraud.


NFA News Releases

Posted on 2009-04-01 03:00:02

Futures firm Last Atlantis Capital Management LLC permanently withdraws from NFA membership

March 31, Chicago - National Futures Association (NFA) has accepted Last Atlantis Capital Management LLC's (LACM) settlement offer to permanently withdraw from NFA membership.


NFA Regulatory Actions

Posted on 2009-03-31 02:00:03

Last Atlantis Capital Management LLC and Irwin M. Berger

Decision - 08BCC00028


NFA News Releases

Posted on 2009-03-28 02:00:02

Florida futures firm JMJ Capital Group LLC withdraws from NFA membership

March 27, Chicago - National Futures Association (NFA) has accepted JMJ Capital Group LLC's (JMJ) settlement offer to permanently withdraw from NFA membership.


NFA Regulatory Actions

Posted on 2009-03-27 02:00:03

JMJ Capital Group LLC, Joel Garcia and Rafael Carnicer

Decision - 08BCC00031


NFA News Releases

Posted on 2009-03-25 03:00:02

NFA takes an emergency enforcement action against GlobeFX Club, Inc.

March 24, Chicago - National Futures Association (NFA) announced today that it has taken an emergency enforcement action against GlobeFX Club, Inc. (GlobeFX Club), a Commodity Pool Operator located in Homestead, Florida.


NFA News Releases

Posted on 2009-03-19 02:00:02

West Palm Beach introducing broker Princeton Trading Advisors withdraws from NFA membership

March 18, Chicago - National Futures Association (NFA) has accepted Princeton Trading Advisors' (Princeton) settlement offer to withdraw from NFA membership and never reapply.


NFA Regulatory Actions

Posted on 2009-03-18 02:00:03

Institutional Advisory Services Group

Decision: 08BCC00030


NFA News Releases

Posted on 2009-02-25 02:00:02

National Futures Association announces Board of Directors election results

February 23, Chicago - The Board of Directors of National Futures Association (NFA) has reelected W. Robert Felker, Chairman of JPMorgan Futures, Inc., to serve a one year term as Chairman and Christopher K. Hehmeyer, Chief Executive Officer of Penson GHCO, as Vice-Chairman.


NFA Regulatory Actions

Posted on 2009-02-21 02:00:03

Trendex Commodity Corp. and Thomas Paul Wayne

Decision: 08BCC00025


NFA News Releases

Posted on 2009-02-21 02:00:02

Florida futures broker permanently withdraws from NFA membership

February 20, Chicago - National Futures Association (NFA) has accepted Trendex Commodity Corp.'s (Trendex) settlement offer to permanently withdraw from NFA membership.


NFA Regulatory Actions

Posted on 2009-02-14 02:00:03

Paul Greenwood and Stephen Walsh

Member Responsibility Action - 09MRA00002


NFA News Releases

Posted on 2009-02-14 02:00:02

NFA takes an emergency enforcement action against two Connecticut commodity pool operators

February 12, Chicago - National Futures Association (NFA) announced today that it has taken an emergency enforcement action against Paul Greenwood and Stephen Walsh, both of whom are sole proprietor Commodity Pool Operator (CPO) Members of NFA located in Greenwich, Connecticut.


NFA Regulatory Actions

Posted on 2009-02-13 02:00:04

Magma Fund Advisors, Ltd. and Desmond M. Muthemba

Decision - 08BCC00032


NFA Regulatory Actions

Posted on 2009-02-12 02:00:03

Commodity Futures Consultants Corp. and Jamie S. Duncanson

Decision - 08BCC00016


NFA News Releases

Posted on 2009-02-12 02:00:02

NFA bars Boca Raton introducing broker, Commodity Futures Consultants Corp. and its principal

February 11, Chicago - National Futures Association (NFA) has ordered Commodity Futures Consultants Corp. (CFCC), an Introducing Broker Member located in Boca Raton, Florida, to withdraw from NFA membership and not reapply.


NFA Regulatory Actions

Posted on 2009-02-11 02:00:04

Mark E. Bloom

Member Responsibility Action - 09MRA00001


NFA News Releases

Posted on 2009-02-11 02:00:02

NFA takes emergency enforcement action against New York commodity pool operator

February 9, Chicago - National Futures Association (NFA) announced today, that it has taken an emergency enforcement action against Mark E. Bloom, a Commodity Pool Operator (CPO) located in New York City.


NFA News Releases

Posted on 2009-02-10 02:00:03

NFA bars New Jersey commodity pool operator

February 9, Chicago - National Futures Association (NFA) has ordered Progressive Investment Funds (Progressive), a Commodity Pool Operator located in Glenrock, New Jersey, to withdraw from NFA membership and not reapply.


NFA Regulatory Actions

Posted on 2009-02-07 02:00:04

First Choice Futures and Options, Inc. (Mark D. Ashton)

Decision - 08BCC00013


NFA Regulatory Actions

Posted on 2009-02-03 02:00:02

Walsh Trading, Inc.

Decision - 08BCC00027


NFA Regulatory Actions

Posted on 2009-01-30 02:00:03

Nicholas R. Swee

Final Order - 08REG00014


NFA Regulatory Actions

Posted on 2009-01-24 02:00:03

Zoco LLC and Demian Barrett

Decision - 07BCC00027


NFA News Releases

Posted on 2009-01-06 02:00:02

NFA permanently bars Illinois forex firm, One World Capital Group LLC and its principal

January 5, Chicago - National Futures Association (NFA) has permanently barred One World Capital Group LLC (One World) and its principal, John E. Walsh from NFA membership.


NFA Regulatory Actions

Posted on 2008-12-24 02:00:02

One World Capital Group LLC and John E. Walsh

Decision - 08BCC00024


NFA News Releases

Posted on 2008-12-18 02:00:02

NFA orders Florida firm, Meridian Commodity Corporation and its principal to permanently withdraw

December 17, Chicago - National Futures Association (NFA) has ordered Meridian Commodity Corporation (MCC), an Introducing Broker located in North Palm Beach, Florida, to permanently withdraw from NFA membership.


NFA Regulatory Actions

Posted on 2008-12-17 02:00:03

Meridian Commodity Corporation, Robert E. Parker and George D. Lewis

Decision - 08BCC00009


NFA News Releases

Posted on 2008-12-09 02:00:03

National Futures Association issues Investor Alert to help individuals protect themselves from affin

December 8, Chicago - National Futures Association (NFA) has issued an Investor Alert to help individuals avoid becoming victims of fraudulent investment offers targeted to specific ethnic communities, religious organizations and social clubs.


NFA News Releases

Posted on 2008-12-06 02:00:04

National Futures Association distributes nearly $3.4 million in restitution payments to victims in i

December 5, Chicago - National Futures Association (NFA) announced today that it has distributed close to $3.4 million to 242 investors as part of a consent order issued on April 11, 2008, against E-Metal Merchants, Inc. and two of the firm's officers, Benji Dayan and Andrew Stern.


NFA News Releases

Posted on 2008-11-14 02:00:04

NFA orders Florida firms, Universal Commodity Corp. and Comtrust Inc. to permanently withdraw from N

November 13, Chicago - National Futures Association (NFA) has ordered Universal Commodity Corp. (UCC) and Comtrust Inc. (Comtrust) to permanently withdraw from NFA membership.


NFA Regulatory Actions

Posted on 2008-11-14 02:00:04

Universal Commodity Corp., et al., Comtrust Inc., and Stuart A. Mehler

Decision - 07BCC00047 and 08BCC00022


NFA Regulatory Actions

Posted on 2008-11-06 02:00:03

Midas Securities LLC

Decision - 08BCC00012


NFA News Releases

Posted on 2008-11-01 03:00:02

NFA takes emergency enforcement action against SNC Investments, Inc. and its principal, Peter Son

October 31, Chicago - National Futures Association (NFA) announced that it has taken an emergency enforcement action that suspends SNC Investments, Inc. (SNC) and its principal, Peter Son, from NFA membership and associate membership, respectively.


NFA Regulatory Actions

Posted on 2008-11-01 03:00:02

SNC Investments, Inc. and Peter Son

Member Responsibility Action - 08MRA00005


NFA News Releases

Posted on 2008-10-25 02:00:03

NFA permanently bars Pompano Beach, Florida firm, The Miller Group and its principal

October 24, Chicago - National Futures Association (NFA) has permanently barred from NFA membership The Miller Group LLC (The Miller Group) and its principal, Francis P. Miller.


NFA Regulatory Actions

Posted on 2008-10-23 02:00:04

Jonathan H. Hill

Final Order - 08REG00009


NFA Regulatory Actions

Posted on 2008-10-11 02:00:03

Quaestus Trading LLC

Decision - 08BCC00015


NFA Regulatory Actions

Posted on 2008-10-03 02:00:03

Samuel B. Hudson

Final Order - 08REG00017


NFA Regulatory Actions

Posted on 2008-10-02 02:00:04

SNC Investments Inc.

Decision - 08BCC00010


NFA Regulatory Actions

Posted on 2008-09-30 02:00:04

Trade Center LLC

Decision - 08BCC00011


NFA Regulatory Actions

Posted on 2008-09-18 02:00:04

Nextsource Trading Corporation, et al.

Decision - 08BCC00002


NFA News Releases

Posted on 2008-09-18 02:00:03

NFA takes emergency enforcement action against Florida firm, Capital Blu Management LLC

September 17, Chicago - National Futures Association (NFA) announced that it has taken an emergency enforcement action against Capital Blu Management LLC (Capital Blu), a Commodity Trading Advisor located in Melbourne, Florida.


NFA Regulatory Actions

Posted on 2008-09-16 02:00:02

Longboat Global Funds Management LLC and Robert J. Beasley

Decision - 05BCC00014


NFA Regulatory Actions

Posted on 2008-09-10 02:00:04

Stephen J. Shore

Decision - 07BCC00049


NFA Regulatory Actions

Posted on 2008-08-23 02:00:04

Edward Lau

Final Order - 06REG00007


NFA Regulatory Actions

Posted on 2008-08-20 02:00:04

Meridian Commodity Corporation (James R. Burbage)

Decision - 08BCC00009


NFA News Releases

Posted on 2008-07-26 02:00:04

NFA expels South Florida firm, American Atlantic Financial Corp. and its principal; sanctions its as

July 25, Chicago - National Futures Association (NFA) has permanently barred American Atlantic Financial Corp. (American Atlantic) and its principal, John Menoutis from NFA membership.


NFA Regulatory Actions

Posted on 2008-07-25 02:00:04

American Atlantic Financial Corp. et al.

Decision - 07BCC00012


NFA Regulatory Actions

Posted on 2008-07-16 02:00:03

Majestic Commodity Corporation et al. (Christopher B. Spinnler)

Decision - 07BCC00044


NFA News Releases

Posted on 2008-07-16 02:00:02

National Futures Association to provide regulatory services for NYSE Liffe futures exchange

July 15, 2008, Chicago and New York - National Futures Association (NFA) and NYSE Liffe LLC, a wholly owned subsidiary of NYSE Euronext, today announced that they have entered into an agreement for NFA to provide regulatory services for NYSE Euronext's U.S. futures exchange, NYSE Liffe.


NFA News Releases

Posted on 2008-07-11 02:00:04

NFA permanently bars Florida firm, Sterling Commodities; sanctions its principal and associated pers

July 10, Chicago - National Futures Association (NFA) has permanently barred Sterling International Commodities (Sterling) from NFA membership and suspended its principal, Todd Marshall, for a period of three years.


NFA Regulatory Actions

Posted on 2008-07-11 02:00:04

Sterling International Commodities (Randall McCullough)

Decision - 07BCC00021


NFA Regulatory Actions

Posted on 2008-07-08 02:00:04

Gregory T. Anderson

Final Order - 07REG00027


NFA Regulatory Actions

Posted on 2008-07-04 02:00:04

JST Capital Management LLC

Decision - 07BCC00038


NFA News Releases

Posted on 2008-06-25 03:00:02

NFA launches online learning program for arbitrators

June 24, Chicago - National Futures Association (NFA) announced today that it has developed an online learning program for its arbitrators that will help them fulfill their ongoing training requirements.


NFA Regulatory Actions

Posted on 2008-06-25 03:00:02

Carlton Krumpfes

Final Order - 07REG00024


NFA Regulatory Actions

Posted on 2008-06-21 02:00:05

Matthew J. Ammermann

Final Order - 08REG00004


NFA Regulatory Actions

Posted on 2008-06-20 02:00:05

Blue System Incorporated

Decision - 08BCC00008


NFA News Releases

Posted on 2008-06-10 03:00:02

NFA takes emergency enforcement action against New Jersey firm, Progressive Investment Funds and Vic

June 9, Chicago - National Futures Association (NFA) announced that it has taken an emergency enforcement action against Progressive Investment Funds (Progressive), a Commodity Pool Operator located in Glenrock, New Jersey, and its sole principal, Victor E. Cilli.


NFA Regulatory Actions

Posted on 2008-06-10 03:00:02

Progressive Investment Funds and Victor E. Cilli

Member Responsibility Action - 08MRA00003


NFA Regulatory Actions

Posted on 2008-05-28 02:00:04

Jaguar Trading and Jonathan J. Berman

Decision - 07BCC00050


NFA Regulatory Actions

Posted on 2008-05-17 02:00:03

American National Trading Corp. (Arman Agdaian)

Decision - 06BCC00034


NFA News Releases

Posted on 2008-05-10 02:00:04

NFA permanently bars Ryan S. Cubiotti, former NFA Associate of Deerfield Beach, Florida

May 9, Chicago - National Futures Association (NFA) has permanently barred Ryan S. Cubiotti of Deerfield Beach, Florida from NFA membership.


NFA Regulatory Actions

Posted on 2008-05-08 02:00:04

Stonebridge Financial Services LLC (Adam T. Bassage)

Decision - 07BCC00036


NFA Regulatory Actions

Posted on 2008-04-25 02:00:05

Last Atlantis Capital Management LLC

Member Responsibility Action - 08MRA00002


NFA News Releases

Posted on 2008-04-25 02:00:04

NFA takes an emergency enforcement action against Last Atlantis Capital Management LLC

April 24, Chicago - National Futures Association (NFA) announced today that it has taken an emergency enforcement action against Last Atlantis Capital Management LLC (LACM).


NFA Regulatory Actions

Posted on 2008-04-22 02:00:04

Richard Polich

Final Order - 07REG00026


NFA Regulatory Actions

Posted on 2008-04-18 02:00:04

Europa Capital Associates LLC

Decision - 07BCC00048


NFA News Releases

Posted on 2008-04-17 02:00:04

National Futures Association advises investors on how to avoid investment fraud at three Money Smart

April 15, Chicago - In conjunction with Chicago's Seventh Annual Money Smart Week (April 20-26), National Futures Association (NFA) will co-sponsor three upcoming events designed to teach investors how to avoid becoming victims of investment fraud.


NFA Regulatory Actions

Posted on 2008-04-11 02:00:04

Universal Commodity Corp. (Albert Gonzalez)

Decision - 07BCC00047


NFA Regulatory Actions

Posted on 2008-04-04 02:00:04

Robert Johnson

Final Order - 07REG00014


NFA Regulatory Actions

Posted on 2008-04-01 02:00:05

Majestic Commodity Corporation et al.

Decision - 07BCC00044


NFA News Releases

Posted on 2008-03-18 02:00:02

NFA suspends Jordan Assets Ltd. and its principal for a period of 10 years

March 14, Chicago - National Futures Association (NFA) has suspended Jordan Assets Ltd. (JAL) and its principal, Wallace N. Jordan, from NFA membership and associate membership, respectively, for a period of ten years.


NFA Regulatory Actions

Posted on 2008-03-14 02:00:04

Jordan Assets Ltd. and Wallace N. Jordan

Decision - 06BCC00038


NFA News Releases

Posted on 2008-03-04 02:00:05

NFA settles enforcement action against James A. Ward, a former associated person of American Atlanti

March 3, Chicago - National Futures Association (NFA) has ordered James A. Ward, a former associated person of American Atlantic Financial Corp. (American Atlantic), not to apply for NFA membership or associate membership for a period of one year.


NFA Regulatory Actions

Posted on 2008-03-04 02:00:05

American Atlantic Financial Corp. (James A. Ward)

Decision - 07BCC00012


NFA Regulatory Actions

Posted on 2008-02-27 02:00:06

Innovative Capital Management LLC and Yehuda Belsky

Member Responsibility Action - 08MRA00001


NFA News Releases

Posted on 2008-02-27 02:00:05

NFA permanently bars three firms and one individual

February 26, Chicago - National Futures Association (NFA) has permanently barred 11 Trading Inc. (11 Trading), Eiger Investment Group (Eiger) and Joerg Heierle from NFA membership.


NFA Regulatory Actions

Posted on 2008-02-26 02:00:06

Suoritus Partners LLC

Decision - 07BCC00043


NFA News Releases

Posted on 2008-02-23 02:00:06

NFA announces Board of Directors election results

February 22, Chicago - The Board of Directors of National Futures Association (NFA) has elected W. Robert Felker, chairman of J.P. Morgan Futures Inc., to serve a one-year term as chairman and Christopher K. Hehmeyer, chief executive officer at Penson GHCO, as vice-chairman.


NFA Regulatory Actions

Posted on 2008-02-23 02:00:06

Mark S. Jakubowski

Final Order - 07REG00011


NFA Regulatory Actions

Posted on 2008-02-15 02:00:06

Black Flag Capital Partners LLC and Jason Black

Decision - 07BCC00029


NFA News Releases

Posted on 2008-02-15 02:00:05

NFA settles enforcement action with Black Flag Capital Partners LLC and its principal

February 14, Chicago - National Futures Association (NFA) has ordered Black Flag Capital Partners LLC (Black Flag) and its principal, Jason Black, to withdraw from NFA membership and associate membership, respectively, for a period of thirty months.


NFA Regulatory Actions

Posted on 2008-02-14 02:00:05

Maxim Torbin

Final Order - 07REG00020


NFA News Releases

Posted on 2008-02-12 05:00:01

NFA permanently bars associated person of Florida futures firm

February 11, Chicago - National Futures Association (NFA) has permanently barred Frank M. Vecchio, an associated person of Universal Commodity Corporation (UCC), from NFA membership.


NFA Regulatory Actions

Posted on 2008-02-08 02:00:06

Universal Commodity Corp. (Frank M. Vecchio)

Decision - 07BCC00047


NFA Regulatory Actions

Posted on 2008-02-07 02:00:06

Victory Investment Management LLC

Decision - 07BCC00035


NFA News Releases

Posted on 2008-02-05 02:00:05

NFA permanently bars Florida CTA, World Trade Financial, Inc., and its principal

February 4, Chicago - National Futures Association (NFA) has permanently barred World Trade Financial, Inc. (WTF) and its principal, David A. Moore.


NFA Regulatory Actions

Posted on 2008-02-02 02:00:05

Tradeco Clearing Group LLC and Ryan J. Nettles

Decision - 07BCC00031


NFA Regulatory Actions

Posted on 2008-01-31 02:00:04

Brian M. Young

Final Order - 06REG00015


NFA News Releases

Posted on 2008-01-31 02:00:03

NFA fines Charlotte forex firm, Advanced Markets, Inc., and its principals $150,000

January 30, Chicago - National Futures Association (NFA) has ordered Advanced Markets, Inc. (AMI) and its principals, Anthony P. Brocco and Geoffrey Gooch, to jointly pay a fine of $150,000.


NFA Regulatory Actions

Posted on 2008-01-30 02:00:06

2GTT LLC

Decision - 07BCC00037


NFA News Releases

Posted on 2008-01-25 02:00:05

National Futures Association fines forex firm

January 24, Chicago - National Futures Association (NFA) has levied a $60,000 fine against IFX Markets, Inc (IFX).


NFA News Releases

Posted on 2008-01-17 02:00:04

NFA permanently bars Commodity Pool Operator and its principal; levies fine of $200,000

January 16, Chicago - National Futures Association (NFA) has permanently barred Cornerstone Capital Management LLC (Cornerstone) and its principal, Joseph Thomas Profit, Jr. (Profit), from NFA membership.


NFA Regulatory Actions

Posted on 2008-01-16 02:00:04

Cornerstone Capital Management LLC and Joseph T. Profit, Jr.

Decision - 07BCC00024


NFA News Releases

Posted on 2008-01-13 19:05:34

NFA reports four forex firms have ceased operations in light of increased capital requirements

January 11, Chicago - National Futures Association (NFA) announced today that four of its Forex Dealer Members (FDMs) have ceased operations as a result of NFA's new $5 million capital requirement, which became effective on December 21.


NFA Regulatory Actions

Posted on 2008-01-09 02:00:06

Benjamin A. Follansbee

Final Order - 07BCC00046


NFA Regulatory Actions

Posted on 2008-01-05 03:11:55

Solid Gold Financial Services Inc.

Decision - 07BCC00046


NFA News Releases

Posted on 2008-01-05 03:06:47

NFA orders San Francisco firm to pay $35,000 fine

January 2, Chicago - National Futures Association (NFA) has ordered Solid Gold Financial Services Inc. (Solid Gold), a Futures Commission Merchant located in San Francisco, California, to pay a fine of $35,000.


Data
  • 402 FCM's listed
  • Last Report 04/30/08

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