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| 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 |