| |
Last Reg. |
Regulatory |
NFA |
Fines, Actions or |
|
CFTC |
Registered Unless |
| FIRM NAME |
From… |
Actions |
Arbitrations |
Arbitration Awards |
Win / Loss |
Rep Cases |
Specified |
| D & S COMMODITIES |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| D&G FUTURES INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| D&R COMMODITIES INC |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| DABBAH CHAOUL ABRAHAM |
1999 |
0 |
0 |
0 |
0 |
0 |
no current status |
| DABBAH SECURITIES CORP |
1992 |
0 |
0 |
0 |
0 |
4 |
|
| DACO INC |
1984 |
0 |
0 |
0 |
0 |
3 |
|
| DAKOTA COMMODITIES INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| DAKOTA FUTURES CO |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| DAKOTA GRAIN INVESTORS |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| DALLAS COMMODITY COMPANY INC |
1982 |
0 |
0 |
0 |
0 |
0 |
|
| DALRICH INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| DAPS PUBLISHING INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| DAVE MAHER AND ASSOCIATES |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| DAVENPORT & COMPANY LLC |
1982 |
0 |
0 |
0 |
0 |
0 |
|
| DAVID FIALA LTD |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| DAVID HALL COMMODITIES |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| DAVID WAITT & CO COMMODITIES INC |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| DAYTRADE 4 LESS |
1998 |
1 |
0 |
$10,000 fine |
0 |
0 |
|
| DB COMMODITIES |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| DB MARKETING INC |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| DC COMMODITIES |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| DDO INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| DEARBORN CAPITAL BROKERS LTD |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| DEBRUCE FUTURES INC |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| DEC CAPITAL INC |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| DECATUR COOPERATIVE ASSOCIATION |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| DEKALB COMMODITIES |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| DEL FINANCIAL SERVICES |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| DELAWARE INVESTMENTS INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| DELMAR JOSEPH KLOEWER CO |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| DELONG COMMODITIES TRADING CO |
1999 |
0 |
0 |
0 |
0 |
0 |
no current status |
| DELTA COMMODITIES OF OLNEY INC |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| DELTA CORPORATION |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| DELTA FUTURES INC |
1983 |
0 |
0 |
0 |
0 |
0 |
|
| DENALI FUTURES LLC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| DEVANEY MICHAEL PATRICK |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| DEVO CAPITAL MANAGEMENT CORP |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| DEVORE BRENTON L |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| DH FINANCIAL LLC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| DHT TRADING INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| DHV INC |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| DIKEMAN JEFFREY VAIL |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| DILLON GAGE INC OF DIMMITT |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| DILLON-GAGE INCORPORATED |
1982 |
1 |
0 |
$1,000 fine |
0 |
7 |
|
| DIMARCO EUGENE P DBA E S MARC |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| DIRECT FUTURES |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| DISCOUNT COMMODITIES INC |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| DISCOUNT FUTURES BROKER |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| DISCOVERY FUTURES LLC |
2001 |
0 |
0 |
0 |
0 |
0 |
no current status |
| DIVERSIFICATION INTO COMMODITY ASSET MGT |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| DJG INC |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| DK FUTURES |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| DKAR LIMITED PARTNERSHIP |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| DLD VENTURES |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| DMFIALA LTD |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| DOW CORPORATION THE |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| DOWNING FUTURES |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| DPM BROKERAGE LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| DRESDNER KLEINWORT WASSERSTEIN SEC LLC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| DRF INVESTMENTS INC |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| DRW EXECUTION SERVICES LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| DRYWOOD FINANCIAL SERVICES INC |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| DUCKWORTH COMMODITIES |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| DUDDING COMMODITIES LTD |
1990 |
0 |
0 |
0 |
0 |
0 |
|
