| |
Last Reg. |
Regulatory |
NFA |
Fines, Actions or |
|
CFTC |
Registered Unless |
| FIRM NAME |
From… |
Actions |
Arbitrations |
Arbitration Awards |
Win / Loss |
Rep Cases |
Specified |
| C&N TRADING CO INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| C&S MARKETING DIVISION INC |
1990 |
0 |
2 |
$625 arb |
1W 1L |
2 |
|
| CAFFEY INVESTMENT GROUP INC THE |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| CAINE FUTURES LLC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| CALDWELL INTERNATIONAL SECURITIES CORP |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| CALIFORNIA MANAGED ACCOUNTS INC |
1986 |
1 |
0 |
$2,000 fine |
0 |
0 |
|
| CALVARY FINANCIAL GROUP LLC |
1999 |
1 |
0 |
Permanent Bar |
0 |
0 |
Permanent Bar From NFA |
| CAMBRIDGE INTERNATIONAL SECURITIES INC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| CAMBRIDGE INVESTMENT RESEARCH INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| CAMP CREEK COMMODITY & CAPITAL INVST COR |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| CAMPBELL CAPITAL MANAGEMENT INC |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| CAMPCO INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| CANNON TRADING COMPANY INC |
1988 |
0 |
0 |
0 |
0 |
1 |
|
| CAPE FEAR GROUP LLC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| CAPITAL COMMODITIES |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| CAPITAL FINANCE GROUP INC |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| CAPITAL INVESTMENT SERVICES INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| CAPITAL MANAGEMENT PARTNERS INC |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| CAPITAL MANAGEMENT SYSTEMS |
1996 |
0 |
0 |
0 |
0 |
0 |
no current status |
| CAPITAL TRADING ASSOCIATES |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| CAPITOL COMMODITY SERVICES INCORPORATED |
1984 |
1 |
0 |
Stricter Regulations |
0 |
1 |
|
| CAPROCK COMMODITIES |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| CAPROCK SECURITIES |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| CAPTRUST FINANCIAL ADVISORS LLC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| CARDINAL ASSET MANAGEMENT LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| CARDINAL TRADING |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| CARGILL COMMODITY SERVICES INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| CARLIN FUTURES LLC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| CARNEGIE TRADING GROUP LTD INC THE |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| CAROLINA COMMODITIES |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| CARR GLOBAL ADVISORS INC |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| CASCADE COMMODITIES |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| CASCIO TRADING COMPANY |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| CASS COUNTY COMMODITIES |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| CASTLE TRADING INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| CATAO TRADING INC |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| CATHAY FINANCIAL LLC |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| CATRANACO INCORPORATED |
1986 |
1 |
0 |
$15,000 fine |
0 |
1 |
|
| CATTLEMANS COMMODITIES |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| CAVENAUGH FARMS INC |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| CBH COMMODITIES INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| CCM FUTURES LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| CELTER COMMODITIES & FUTURES INC |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| CELTIC BROKERAGE INCORPORATED |
1982 |
0 |
0 |
0 |
0 |
0 |
|
| CENTRAL FUTURES INC |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| CENTRAL IOWA COMMODITY SERVICES |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| CENTRAL MISSOURI COMMODITIES |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| CENTRAL STATES COMMODITIES INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| CENTRUST GROUP INC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| CENTURY GROUP HOLDINGS LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| CERES TRADING GROUP INC |
1995 |
1 |
1 |
$34,056arb, $75,000 fine |
0W 1L |
21 |
|
| CEROILFOOD FUTURES NEW YORK INC |
1994 |
0 |
0 |
0 |
0 |
0 |
no current status |
| CEROS BROKER SERVICE INC |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| CGB DIVERSIFIED SERVICES INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| CHADWICK INVESTMENT GROUP |
1997 |
0 |
0 |
0 |
0 |
1 |
|
| CHAMPAIGN LANDMARK INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| CHAPMAN & GRAHAM |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| CHAPMAN COMMODITIES |
1986 |
0 |
0 |
0 |
0 |
0 |
no current status |
| CHAPMAN TRADING COMPANY |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| CHARLES COCHRAN & ASSOCIATES INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| CHARLES SCHWAB & CO INC |
1997 |
0 |
0 |
0 |
0 |
1 |
|
| CHART TOP INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| CHARTER COMMODITIES LTD |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| CHARTEWEL COMMODITIES |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| CHATFIELD JOHN SNOWDEN |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| CHEMATCH.COM DELAWARE1 INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| CHERYL L WELSH LLC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| CHESAPEAKE INVESTMENT SERVICES INC |
1997 |
0 |
0 |
0 |
0 |
2 |
|
| CHIARA VINCENT A |
1997 |
0 |
0 |
0 |
0 |
0 |
no current status |
| CHICAGO DIRECT INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| CHICAGO FUTURES TRADERS |
1990 |
0 |
1 |
0 |
1W 0L |
2 |
|
| CHICAGO TRADERS GROUP CORP |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| CHICAGO TRADING AND OPTIONS CO |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| CHRISTENSEN COMMODITIES INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| CIMARRON COMMODITIES |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| CIRCLE COMMODITIES INC |
1998 |
0 |
0 |
0 |
0 |
0 |
no current status |
| CITRUS CAPITAL INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| CL GLAZER & COMPANY INC |
1983 |
0 |
0 |
0 |
0 |
0 |
|
| CLARK AG MARKETING SERVICES |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| CLARK TRADING CORPORATION OF NEW YORK |
1994 |
0 |
0 |
0 |
0 |
0 |
no current status |
| CLEARTRADE COMMODITIES |
1994 |
0 |
0 |
0 |
0 |
0 |
no current status |
| CLEARTRADE INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| CLIFDEN CAPITAL INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| CLUB 3 TRADING INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| CLUB AGRA |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| CLUCAS TRADING CO |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| CMA REPORTS INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| CMB TRADE GROUP |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| COAST ASSET SECURITIES LLC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| COASTAL FUTURES & OPTIONS |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| COE COE COMMODITY |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| COLEMAN AND ASSOCIATES |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| COLLARD FINANCIAL SERVICES |
1993 |
0 |
0 |
0 |
0 |
1 |
|
| COLLINS COMMODITIES |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| COLONIAL FUTURES |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| COLUMBIA COMMODITIES INCORPORATED |
1987 |
0 |
0 |
0 |
0 |
1 |
|
| COLUMBIA FUTURES GROUP INC |
1990 |
0 |
0 |
0 |
0 |
1 |
|
| COMART INCORPORATED |
1983 |
0 |
0 |
0 |
0 |
0 |
|
| COMEK FINANCIAL GROUP INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| COMMERCE TRADING CO INC |
1992 |
0 |
1 |
0 |
1W 0L |
0 |
|
| COMMERCIAL HEDGE SERVICES INC |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITIES INC OF LARNED |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY ADVISORY CORP OF TEXAS |
1983 |
2 |
0 |
$13,000 fines |
0 |
1 |
no current status |
| COMMODITY BROKERS INTERNATIONAL |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY CENTRAL INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY CONSULTANTS INC, IA |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY CONSULTANTS INC, NE |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY DEALERS INC |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY FLOOR SERVICES INC |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY FUTURES & OPTIONS SERVICE INC |
1988 |
0 |
0 |
0 |
0 |
2 |
|
| COMMODITY FUTURES TRADING CORP |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY GRP ASSOC REP FUTURES&OPTIONS |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY INFORMATION SYSTEMS INC |
1982 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY INVESTMENT GROUP |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY INVESTMENT MANAGEMENT INC |
1982 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY INVESTOR SERVICES INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY INVESTORS GROUP INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY MANAGEMENT GROUP INC |
1995 |
0 |
0 |
0 |
0 |
0 |
no current status |
| COMMODITY MANAGEMENT INC |
1989 |
0 |
0 |
0 |
0 |
0 |
no current status |
| COMMODITY OPERATIONS INC |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY PARTNERS BROKERAGE INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY PROGRAMS INC |
1988 |
1 |
1 |
$125,00 fines, $4,927arb |
0W 1L |
3 |
|
| COMMODITY RESEARCH AND TRADING CO INC |
1999 |
0 |
0 |
0 |
0 |
0 |
no current status |
| COMMODITY RESEARCH INSTITUTE LTD |
1977 |
1 |
0 |
$15,000 fine |
0 |
0 |
|
| COMMODITY REVIEW AND OUTLOOK |
1995 |
0 |
0 |
0 |
0 |
1 |
|
| COMMODITY RISK MANAGEMENT INC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY SERVICES INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY TRACKERS |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY TRADERS INC |
1982 |
1 |
0 |
$1,000 fine |
0 |
0 |
|
| COMMODITY TRADERS OF AMERICA |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| COMMODITY TRADING CORP |
1987 |
1 |
1 |
$27,500 fine |
1W 0L |
2 |
|
| COMMSTOCK INVESTMENTS INC |
1983 |
0 |
0 |
0 |
0 |
0 |
|
| COMPAK ASSET MANAGEMENT |
1999 |
1 |
0 |
0 |
0 |
1 |
|
| COMPASS FINANCIAL |
1990 |
1 |
1 |
$5,000 fine $7,500 arb |
0W 1L |
0 |
|
| COMPLETE PRICE MANAGEMENT INC |
1986 |
0 |
1 |
$700 arb |
0W 1L |
3 |
|
| COMQUEST FUTURES INC |
1992 |
1 |
0 |
$20000 fine |
0 |
1 |
|
| COMTECH TRADING |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| COMTEK TRADING GROUP INC |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| COMTRADE FINANCIAL COMPANY |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| CONCORDE TRADING GROUP INC |
1988 |
4 |
2 |
$145,000 fine |
2W OL |
107 |
|
| CONNING & COMPANY |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| CONRARDY COMMODITIES INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| CONSOLIDATED MARKETING & MANAGEMENT LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| CONSULTING SERVICES GROUP LLC |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| COOP SERVICE CENTER |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| COQUEST INCORPORATED |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| CORAL GABLES TRADING CORPORATION |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| CORBIN INVESTMENTS INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| CORE FINANCIAL GROUP LLC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| CORNERSTONE NATIONAL BROKERAGE CORP |
1999 |
1 |
0 |
Permanent Withdraw Reg. |
0 |
0 |
no current status |
| CORRA PETER L |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| COUNTRY COMMODITIES |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| COUNTRY FUTURES INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| COUNTRYMARK COOPERATIVE INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| COUNTRYSIDE COMMODITIES |
1984 |
0 |
0 |
0 |
0 |
1 |
|
| COURTNEY BARBARA MCGOWAN |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| COX CLAIR EDWARD III |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| CP COMMODITIES |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| CREATIVE CAPITAL MANAGEMENT INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| CREDIT LYONNAIS SECURITIES USA INC |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| CRESCENT FUTURES INC |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| CREWS & ASSOCIATES INC |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| CROKER-RHYNE CO INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| CROMWELL FINANCIAL SERVICES INC |
1992 |
2 |
1 |
$175,000 fines $65,173 arb |
0W 1L |
31 |
|
| CROP RISK INC |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| CROSSBOW CAPITAL MANAGEMENT |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| CROWFLITE CORPORATION |
1994 |
1 |
0 |
$17,500 fine |
0 |
2 |
|
| CROWN FUTURES CORPORATION |
1991 |
1 |
0 |
$7500 fine |
0 |
0 |
|
| CRYSTAL RIVER CAPITAL LLC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| CRYSTAL TRADING CO |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| CRYSTALBALL TRADING.COM INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| CS TRADING |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| CULLEN JOHN NOLAN III |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| CYBER PACIFIC TRADERS INC |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| CYBERCTA.COM LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| CYCLONE COMMODITIES INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| CYF BROKERAGE |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| CYTRADE FUTURES INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
