Futures Commission Merchant News
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.