Futures Commission Merchant News
NFA News Releases
Posted on 2010-03-11 02:00:06
Charles Mitchell d/b/a Hindsight Commodity Traders agrees to withdraw from NFA membership for seven
March 10, Chicago - National Futures Association (NFA) has accepted Charles Mitchell's settlement offer to withdraw from NFA membership for a period of seven years.
NFA Regulatory Actions
Posted on 2010-03-11 02:00:06
Decision - 09BCC00038
NFA Regulatory Actions
Posted on 2010-03-10 02:00:06
IAG Capital Management, LLC, William P. Kelly and Timothy M. Murphy
Member Responsibility Action - 10MRA00002
NFA News Releases
Posted on 2010-03-10 02:00:05
NFA takes an emergency enforcement action against IAG Capital Management, LLC, William P. Kelly and
March 9, Chicago - National Futures Association (NFA) announced that it has taken an emergency enforcement action against IAG Capital Management, LLC (IAG), William P. Kelly and Timothy M. Murphy.
NFA Regulatory Actions
Posted on 2010-03-06 02:00:05
Decision - 09BCC00045
NFA News Releases
Posted on 2010-03-04 02:00:05
NFA revokes registration of several associated persons of former Boca Raton futures firm
March 3, Chicago - National Futures Association (NFA) has revoked the registrations of Jeremy J. Grena, Nabil P. Niman, Nicholas P. Payne, William M. Rill and Alexander M. Silverman, former associated persons (AP) of Pioneer Commodities LLC (Pioneer) and Windsor Wealth Management LLC, firms based in Boca Raton, Florida.
NFA Regulatory Actions
Posted on 2010-03-04 02:00:05
Final Order - 09REG00021
NFA Regulatory Actions
Posted on 2010-02-24 02:00:05
1 FX Trader LLC and David C. Arena
Decision - 09BCC00058
NFA News Releases
Posted on 2010-02-23 02:00:05
National Futures Association announces Board of Directors election results
February 22, 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, non-executive chairman of Penson GHCO, as vice-chairman.
NFA Regulatory Actions
Posted on 2010-02-20 02:00:05
Princeton Trading Advisors (Damion Gopaul)
Decision - 09BCC00002
NFA News Releases
Posted on 2010-02-19 02:00:05
Dallas firms Frontline Financial, Inc. and Frontline Advisors LLC ordered to permanently withdraw fr
February 18, Chicago - National Futures Association (NFA) has accepted a settlement offer from Frontline Financial, Inc. (FFI) and Frontline Advisors LLC (FAL) to permanently withdraw from NFA membership.
NFA Regulatory Actions
Posted on 2010-02-18 02:00:05
Frontline Financial, Inc., Frontline Advisors LLC and Charles G. Rice
Decision - 09BCC00032
NFA Regulatory Actions
Posted on 2010-02-12 02:00:05
Decision - 08BCC00035
NFA News Releases
Posted on 2010-02-09 02:00:05
In separate actions, NFA permanently bars futures firms in Puerto Rico and California
February 8, Chicago - National Futures Association (NFA) has permanently barred from NFA membership ACJ Capital, Inc. (ACJ) and its principal, Angel F. Collazo.
NFA Regulatory Actions
Posted on 2010-02-06 02:00:06
Aramis Capital Management LLC and Victor A. Lyons
Decision - 09BCC00030
NFA News Releases
Posted on 2010-02-06 02:00:05
NFA bars NY firm Capital FX LLC and its principal
February 5, Chicago - National Futures Association (NFA) has accepted Capital FX LLC's (CFX) settlement offer to permanently withdraw from NFA membership. CFX is a Commodity Trading Advisor located in Elizaville, New York.
NFA Regulatory Actions
Posted on 2010-02-02 02:00:06
NetBlack Capital LLC and John F. Netto
Decision - 09BCC00024
NFA News Releases
Posted on 2010-02-02 02:00:05
NFA sanctions Las Vegas commodity trading advisor and its principal
February 1, Chicago - National Futures Association (NFA) has ordered NetBlack Capital LLC (NetBlack) to withdraw from NFA membership and not reapply for NFA membership for a period of five years.
NFA News Releases
Posted on 2010-01-28 02:00:04
NFA permanently bars Barbados futures firm and bars principal for three years
January 27, Chicago - National Futures Association (NFA) has permanently barred Kingz Capital Management Corporation (KCM) from NFA membership.
NFA Regulatory Actions
Posted on 2010-01-28 02:00:04
Decision - 09BCC00035
NFA News Releases
Posted on 2010-01-23 02:00:05
NFA takes an emergency enforcement action against two California futures firms and its principal
January 22, Chicago - National Futures Association (NFA) announced that it has taken an emergency enforcement action against Direct Investment Products, Inc. (DIP), Institutional Capital Management LLC (ICM) and its sole principal and associated person, Alexander Glytenko.
NFA Regulatory Actions
Posted on 2010-01-23 02:00:05
Direct Investment Products, Inc., Institutional Capital Management LLC and Alexander Glytenko
Member Responsibility Action - 10MRA00001
NFA News Releases
Posted on 2010-01-22 02:00:05
NFA permanently bars Chicago commodity pool operator, Wextrade Commodity Managers LLC
January 21, Chicago - National Futures Association (NFA) has accepted a settlement offer from Wextrade Commodity Managers LLC (WCM) to permanently withdraw from NFA membership.
NFA Regulatory Actions
Posted on 2010-01-21 02:00:06
Wextrade Commodity Managers LLC and Paul J. Adrian
Decision - 09BCC00009
NFA News Releases
Posted on 2010-01-20 02:00:05
NFA bars Florida firm, Cani Financial Advisors LLC and its principal, for a period of five years
January 19, Chicago - National Futures Association (NFA) has accepted a settlement offer from Cani Financial Advisors LLC (Cani) and its principal, Scott W. Raybin, to withdraw from NFA membership for a period of five years.
NFA Regulatory Actions
Posted on 2010-01-20 02:00:05
Cani Financial Advisors LLC and Scott W. Raybin
Decision - 09BCC00040
NFA Regulatory Actions
Posted on 2010-01-09 02:00:05
Strategy Automation Management LLC
Decision - 09BCC00029
NFA Regulatory Actions
Posted on 2010-01-07 02:00:05
Decision - 09BCC00019
NFA Regulatory Actions
Posted on 2010-01-05 02:00:06
Parman Financial and Lyndon L. Parrilla
Decision - 09BCC00016
NFA News Releases
Posted on 2010-01-05 02:00:05
NFA permanently bars California commodity trading advisor Parman Financial and its principal
January 4, Chicago - National Futures Association's (NFA) has permanently barred Parman Financial (Parman) and its principal, Lyndon L. Parrilla, from NFA membership.
NFA Regulatory Actions
Posted on 2009-12-29 02:00:06
Final Order - 09REG00022
NFA Regulatory Actions
Posted on 2009-12-22 02:00:06
Burt Martin Arnold Securities Inc.
Final Order - 09REG00016
NFA News Releases
Posted on 2009-12-19 02:00:03
NFA permanently bars Arizona firm Wholesale Asset Management LLC and its principal
December 18, Chicago - National Futures Association (NFA) has permanently barred Wholesale Asset Management LLC (Wholesale Asset Management) and its sole principal and associated person, Jared D. Coad, from NFA membership.
NFA Regulatory Actions
Posted on 2009-12-18 02:00:10
Wholesale Asset Management LLC and Jared D. Coad
Decision - 09BCC00034
NFA News Releases
Posted on 2009-11-26 02:00:02
NFA bars James C. Morton, former principal of GlobeFX Club Inc., from acting as principal for a peri
November 25, Chicago - National Futures Association (NFA) has barred James C. Morton from acting as a principal of an NFA Member for a period of five years and also ordered him to pay a fine of $10,000 in the event that he reapplies for NFA membership or associate membership.
NFA Regulatory Actions
Posted on 2009-11-24 02:00:04
Blue Sky Capital Management Corp. and Gregory M. Schneider
Decision - 09BCC00026
NFA News Releases
Posted on 2009-11-24 02:00:03
NFA accepts offer from Tennessee firm Blue Sky Capital Management Corp. and its principal to permane
November 23, Chicago - National Futures Association's (NFA) Business Conduct Committee has accepted a settlement offer from Blue Sky Capital Management Corp. (Blue Sky) and its principal, Gregory M. Schneider, to permanently withdraw from NFA membership.
NFA Regulatory Actions
Posted on 2009-11-17 02:00:03
Decision - 09BCC00027
NFA Regulatory Actions
Posted on 2009-11-06 02:00:04
Decision - 09BCC00017
NFA Regulatory Actions
Posted on 2009-10-29 02:00:07
Final Order - 08REG00025
NFA Regulatory Actions
Posted on 2009-10-22 02:00:04
Final Order - 08REG00018
NFA Regulatory Actions
Posted on 2009-10-09 02:00:04
Dynamic Online Trading Inc. and George Kerr
Decision - 09BCC00013
NFA Regulatory Actions
Posted on 2009-09-26 02:00:04
ACM USA LLC (Edward G. Anderson)
Decision - 09BCC00011
NFA News Releases
Posted on 2009-09-23 02:00:03
NFA permanently bars New York firm Changes Capital Management LLC and its principal
September 22, Chicago - National Futures Association (NFA) has permanently barred from NFA membership Changes Capital Management LLC (CCM), a Commodity Trading Advisor located in New York City, and its principal, Pinank V. Shah.
NFA News Releases
Posted on 2009-09-22 02:00:03
NFA permanently bars Florida firm GlobeFX Club Inc.
September 21, Chicago - National Futures Association (NFA) has permanently barred GlobeFX Club Inc. (GlobeFX Club) from NFA membership.
NFA News Releases
Posted on 2009-09-19 02:00:03
NFA permanently bars Florida commodity trading advisor Capital Blu Management LLC
September 18, Chicago - National Futures Association (NFA) has permanently barred from NFA membership Capital Blu Management LLC (Capital Blu), a Commodity Trading Advisor located in Melbourne, Florida.
NFA Regulatory Actions
Posted on 2009-09-18 02:00:03
True Vector Trading Group LLC and James Douglas
Decision - 09BCC00010
NFA Regulatory Actions
Posted on 2009-09-10 02:00:03
Tiger Financial Group (Michael A. Patton)
Decision - 08BCC00017
NFA News Releases
Posted on 2009-09-09 02:00:03
NFA permanently bars Florida futures firm, Global Trading Center LLC
September 8, Chicago - National Futures Association (NFA) has permanently barred from NFA membership, Global Trading Center LLC (Global Trading), a former Introducing Broker located in Boca Raton, Florida.
NFA Regulatory Actions
Posted on 2009-08-31 02:00:04
Final Order - 09REG00027
NFA News Releases
Posted on 2009-08-31 02:00:03
NFA bars Boca Raton firm, Pioneer Commodities LLC for misrepresentations
August 28, Chicago - National Futures Association (NFA) has permanently barred from NFA membership Pioneer Commodities LLC (Pioneer), an Introducing Broker located in Boca Raton, Florida.
NFA Regulatory Actions
Posted on 2009-08-20 02:00:03
Final Order - 09REG00026
NFA Regulatory Actions
Posted on 2009-08-12 02:00:04
Hi Tech Futures Trading Inc. and Jamie Lee Hall
Decision - 09BCC00008
NFA Regulatory Actions
Posted on 2009-08-07 02:00:03
Decision - 09BCC00007
NFA Regulatory Actions
Posted on 2009-08-05 02:00:03
Final Order - 09REG00024
NFA Regulatory Actions
Posted on 2009-08-04 02:00:03
Final Order - 09REG00001
NFA Regulatory Actions
Posted on 2009-07-31 02:00:04
Final Order - 08REG00022
NFA News Releases
Posted on 2009-07-31 02:00:03
NFA accepts offer from Tiger Financial Group, a futures firm located in Los Angeles, California, to
July 30, Chicago - A National Futures Association (NFA) Hearing Panel has issued a Decision in which it accepted Tiger Financial Group's (Tiger Financial) offer to permanently withdraw from NFA membership.
NFA News Releases
Posted on 2009-07-25 02:00:03
NFA revokes registration of Texas firm, SG Commodities LLC and its principal, James S. Gossett
July 23, Chicago - National Futures Association (NFA) has revoked the registrations of SG Commodities LLC (SG Commodities) and its principal, James S. Gossett.
NFA Regulatory Actions
Posted on 2009-07-25 02:00:03
Raleigh Capital Management, Inc. and Richmond H. Hamilton, Jr.
Member Responsibility Action - 09MRA00006
NFA Regulatory Actions
Posted on 2009-07-23 02:00:03
Final Order - 09REG00004
NFA News Releases
Posted on 2009-07-17 02:00:03
NFA bars Kaye Simone White-Webster, associated person of Florida firm Global Trading Center LLC
July 16, Chicago - National Futures Association has barred Kaye Simone White-Webster, an associated person (AP) of Global Trading Center LLC (Global Trading), from NFA membership for a period of five years
NFA Regulatory Actions
Posted on 2009-07-15 02:00:06
Global Trading Center LLC (Kaye Simone White-Webster)
Decision - 08BCC00026
NFA News Releases
Posted on 2009-07-09 02:00:02
NFA permanently bars Florida introducing broker, Vanguard Trading Group
July 8, Chicago - National Futures Association has permanently barred from NFA membership Vanguard Trading Group (Vanguard), an Introducing Broker located in Pembroke Pines, Florida.
NFA Regulatory Actions
Posted on 2009-07-08 02:00:02
Vanguard Trading Group and Giovan R. Gordon
Decision - 08BCC00034
NFA Regulatory Actions
Posted on 2009-07-03 02:00:08
Final Order - 09REG00014
NFA Regulatory Actions
Posted on 2009-07-02 02:00:06
Final Order - 09REG00012
NFA Regulatory Actions
Posted on 2009-07-01 03:00:04
Final Order - 09REG00009
NFA Regulatory Actions
Posted on 2009-06-30 02:00:07
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
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
Final Order - 09REG00005
NFA Regulatory Actions
Posted on 2009-05-05 03:00:02
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
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
Decision - 08BCC00027
NFA Regulatory Actions
Posted on 2009-01-30 02:00:03
Final Order - 08REG00014
NFA Regulatory Actions
Posted on 2009-01-24 02:00:03
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
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
Final Order - 08REG00009
NFA Regulatory Actions
Posted on 2008-10-11 02:00:03
Decision - 08BCC00015
NFA Regulatory Actions
Posted on 2008-10-03 02:00:03
Final Order - 08REG00017
NFA Regulatory Actions
Posted on 2008-10-02 02:00:04
Decision - 08BCC00010
NFA Regulatory Actions
Posted on 2008-09-30 02:00:04
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
Decision - 07BCC00049
NFA Regulatory Actions
Posted on 2008-08-23 02:00:04
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
Final Order - 07REG00027
NFA Regulatory Actions
Posted on 2008-07-04 02:00:04
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
Final Order - 07REG00024
NFA Regulatory Actions
Posted on 2008-06-21 02:00:05
Final Order - 08REG00004
NFA Regulatory Actions
Posted on 2008-06-20 02:00:05
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
Final Order - 07REG00026
NFA Regulatory Actions
Posted on 2008-04-18 02:00:04
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
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
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
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
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
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
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
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.