| |
Last Reg. |
Regulatory |
NFA |
Fines, Actions or |
|
CFTC |
Registered Unless |
| FIRM NAME |
From… |
Actions |
Arbitrations |
Arbitration Awards |
Win / Loss |
Rep Cases |
Specified |
| B & B COMMODITIES |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| B AND T COMMODITIES INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| B T WILLIAMS COMMODITIES |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| B&B TRADING CO |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| B&D CORPORATION |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| B&L COMMODITIES PARTNERSHIP |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| BAAS COMMODITIES |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| BAC CORP SECURITIES AND INVESTMENT SERV |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| BAGBY BROKERAGE INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| BAIRD ROBERT KENT |
1992 |
0 |
0 |
0 |
0 |
0 |
no current status |
| BALMAC FUTURES INC |
1995 |
0 |
0 |
0 |
0 |
0 |
no current status |
| BANC OF AMERICA SECURITIES LLC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| BANC ONE FUTURES LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
no current status |
| BANCA IMI SECURITIES CORP |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| BANJO COMMODITIES INCORPORATED |
1987 |
0 |
0 |
0 |
0 |
0 |
no current status |
| BANK AUSTRIA SECURITIES INC |
1991 |
0 |
0 |
0 |
0 |
0 |
no current status |
| BARCLAY INVESTMENTS INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| BARKLEY FINANCIAL CORP |
1994 |
1 |
3 |
0 |
3W 0L |
23 |
|
| BARNEBEE TRADING GROUP INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| BARNES BROKERAGE CO INC |
1982 |
0 |
0 |
0 |
0 |
4 |
|
| BARRINGTON COMMODITY BROKERS INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| BARRONS COMMODITY CORP |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| BARTHBEL COMMODITIES INC |
1993 |
0 |
0 |
0 |
0 |
0 |
no current status |
| BARWELL SECURITIES CORPORATION |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| BASIC COMMODITIES INC |
1987 |
0 |
0 |
0 |
0 |
1 |
|
| BATES COMMODITIES INC |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| BAXTER COMMODITIES |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| BAY HARBOR TRADING COMPANY |
2001 |
0 |
0 |
0 |
0 |
0 |
no current status |
| BAYOU SECURITIES LLC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| BAYSIDE METALS INC |
2001 |
0 |
0 |
0 |
0 |
0 |
no current status |
| BEACON FUTURES INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| BEALL INVESTMENT SERVICES LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| BEANPOT FINANCIAL SERVICES INC |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| BEARD ENTERPRISES INC |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| BEDDOWS COMMODITIES INC |
1984 |
1 |
0 |
5,000 fine |
0 |
0 |
|
| BEDFORD FUTURES INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| BEL FUTURES |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| BEL-AIR CAPITAL CORP |
1997 |
0 |
0 |
0 |
0 |
2 |
|
| BELVEDERE CAPITAL MANAGEMENT INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| BENCHMARK FINANCIAL SERVICES |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| BENCHMARK INVESTMENTS INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| BENCHMARK TRADING INC |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| BENEFICIAL CAPITAL INC |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| BENGAL PARTNERS LLC |
1998 |
0 |
0 |
0 |
0 |
0 |
no current status |
| BENTON & EASTERN IOWA FARMER FEEDER COOP |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| BEREAN CAPITAL INC |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| BERRYMAN & ASSOCIATES |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| BEST FUTURES ONLINE |
1999 |
0 |
0 |
0 |
0 |
0 |
no current status |
| BETA CAPITAL MANAGEMENT LP |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| BIRCH ASSET MANAGEMENT INC |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| BIRCH BROKERAGE COMPANY INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| BISHOP ROSEN & CO INC |
1983 |
0 |
0 |
0 |
0 |
0 |
|
| BISHOPP GRAIN & COMMODITIES |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| BLACK DIAMOND FUTURES & TRADING INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| BLACK E L & COMPANY |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| BLAIR ASSOCIATES |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| BLAIR BROS |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| BLAKE FUTURES & OPTIONS INC |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| BLUE FISH COMMODITIES INC |
2000 |
0 |
0 |
0 |
0 |
1 |
|
| BLUE MARLIN FINANCIAL INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| BLUMBERG INTERNATIONAL INC |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| BMI GROUP LLC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| BOHL AND ASSOCIATES |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| BOLTON FINANCIAL SERVICES LLC |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| BONDURANT FUTURES INC |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| BOOGE COMMODITIES INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| BOSTROM COMMODITY BROKERAGE INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| BOTTOM LINE TRADING LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| BOWER TRADING INC |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| BRANDEIS SERVICES INC |
1990 |
0 |
0 |
0 |
0 |
0 |
no current status |
| BRANDON FINANCIAL GROUP INC |
1998 |
0 |
0 |
0 |
0 |
1 |
|
| BRAUN T F & COMPANY |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| BREWER INVESTMENT GROUP INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| BRIDGETON GLOBAL INVESTOR SERV INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| BRIGHTON COMMODITIES INC |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| BROCK INVESTOR SERVICES INC |
1987 |
0 |
1 |
0 |
1W 0L |
1 |
|
| BROKER DEALER FINANCIAL SERVICES CORP |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| BROKER PROFESSIONAL INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| BROM PETERSON & CO |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| BROMAGEN & BROMAGEN |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| BROMAGEN GLENN S |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| BROOKE SECURITIES INC |
1995 |
0 |
0 |
0 |
0 |
0 |
no current status |
| BROOKS COMMODITIES INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| BROOKSTREET SECURITIES CORPORATION |
1990 |
1 |
0 |
$7,500 fine |
0 |
0 |
|
| BROST INVESTMENTS INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| BROWN COMMODITIES |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| BROWN COMMODITIES |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| BROWN COUNTY COMMODITIES INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| BROWN KEITH L & CO |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| BROWN RICHARD JOHN |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| BRUNGARDT VAL H INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| BUCHANAN AND COMPANY INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| BUFFALO TRADING GROUP INC |
1996 |
1 |
0 |
$5,000 fine |
|
0 |
|
| BULL BEAR COMMODITIES INC |
1997 |
0 |
0 |
0 |
0 |
0 |
no current status |
| BULLDOG TRADING CORP |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| BUMGARNER AG SERVICES |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| BUMP INVESTOR SERVICES |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| BURFORD COMMODITIES INC |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| BURNIDGE COMMODITIES |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| BURNS MARCUS PAUL JR |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| BUSINESS DYNAMICS INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| BUTTERFIELD TODD WENDELL |
1997 |
0 |
0 |
0 |
0 |
0 |
|
