| |
Last Reg. |
Regulatory |
NFA |
Fines, Actions or |
|
CFTC |
Registered Unless |
| FIRM NAME |
From… |
Actions |
Arbitrations |
Arbitration Awards |
Win / Loss |
Rep Cases |
Specified |
| F & T COMMODITY SERVICES |
1991 |
0 |
0 |
0 |
0 |
0 |
no current status |
| FAIRFIELD FUTURES INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| FAIRFIELD RESEARCH SECURITIES CORP |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| FAMILY BUSINESS INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| FARM SERVICE COOPERATIVE |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| FARMERS COMMODITIES CORPORATION |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| FARMERS CO-OP ASSOCIATION |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| FARMERS COOPERATIVE ASSOCIATION |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| FARMERS HEDGING COMPANY |
1984 |
0 |
0 |
0 |
0 |
0 |
no current status |
| FARMERS MARKETING SERVICE |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| FARMERS NATIONAL COMMODITIES INC |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| FARMERS OPTIONS & HEDGING SERVICES INC |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| FARR FINANCIAL INC |
1995 |
0 |
0 |
0 |
0 |
6 |
|
| FASCO MILLS COMPANY |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| FAST MARKET TRADING GROUP |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| FCC FUTURES INC |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| FCX FUTURES CORPORATION |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| FEDERAL TRADING CORP |
2001 |
1 |
0 |
Pending |
0 |
1 |
|
| FELLER COMMODITIES INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| FERRIS BAKER WATTS INCORPORATED |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| FF & CG CAPITAL MANAGEMENT |
1992 |
0 |
0 |
0 |
0 |
1 |
|
| FGL COMMODITY SERVICES MONTROSE CO INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| FGL COMMODITY SERVICES OF KEARNEY NE |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| FGL COMMODITY SERVICES OF LUVERNE |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| FGL COMMODITY SERVICES OF PLAINVIEW |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| FGL COMMODITY SERVICES OF VALENTINE NE |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| FIDELITRADE INCORPORATED |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| FIDELITY FINANCIAL GROUP INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| FIDELITY GLOBAL FUTURES INC |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| FIDELITY GLOBAL INVESTMENTS INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| FIDELITY INVESTMENT MANAGEMENT CORP |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| FIDELITY PLANNING GROUP |
2000 |
0 |
0 |
0 |
0 |
1 |
|
| FIDELITY TRADING GROUP INC |
2000 |
0 |
0 |
0 |
0 |
1 |
|
| FIELD INDUSTRIES INC |
1994 |
0 |
1 |
0 |
1W 0L |
5 |
|
| FIELD LOGAN & CO LLC |
1998 |
0 |
0 |
0 |
0 |
0 |
no current status |
| FINANCIAL CONSORTIUM INTERNATIONAL LLC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| FINANCIAL FREEDOM AND FUTURES |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| FINANCIAL FUTURES ADVISORS |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| FINANCIAL FUTURES LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| FINANCIAL INVESTOR SERVICES |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| FINANCIAL SERVICES CO |
1999 |
0 |
0 |
0 |
0 |
0 |
no current status |
| FINANCIAL WEST GROUP |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| FIRST AMERICAN FUTURES INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| FIRST CAPITAL MANAGEMENT CORP |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| FIRST CAPITOL AG INC |
1989 |
0 |
1 |
0 |
1W 0L |
2 |
|
| FIRST CHOICE FUTURES AND OPTIONS INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| FIRST COMMODITY INVESTMENT CORPORATION |
1999 |
0 |
0 |
0 |
0 |
1 |
|
| FIRST COMMODITY PLACE INC |
1986 |
0 |
0 |
0 |
0 |
1 |
|
| FIRST ELITE INVESTMENT GROUP INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| FIRST FIDELITY TRADING GROUP LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| FIRST FINANCIAL TRADING GROUP |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| FIRST FINANCIAL TRADING INC |
1998 |
1 |
0 |
Pending |
0 |
1 |
|
| FIRST FUTURES INC |
2001 |
0 |
0 |
0 |
0 |
0 |
no current status |
| FIRST GLOBAL FUTURES.COM |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| FIRST HERITAGE CAPITAL LLC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| FIRST ILLINOIS INVESTMENT |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| FIRST INTERNATIONAL COMMODITY GROUP INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| FIRST INVESTORS GRP OF PALM BEACHES INC |
1993 |
2 |
0 |
$100,000 fine |
0 |
19 |
|
| FIRST LIBERTY INVESTMENT SERVICES INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| FIRST MID AMERICA INCORPORATED |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| FIRST MONETARY TRADING GROUP |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| FIRST NATIONAL FUTURES GROUP INC |
1999 |
0 |
0 |
0 |
0 |
0 |
no current status |
| FIRST NEW YORK SECURITIES LLC |
1990 |
1 |
0 |
$1,000 fine |
0 |
0 |
|
| FIRST SECURITIES OF WEST MONROE INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| FIRST SECURITY FUTURES CORPORATION |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| FIRST SOUTHEASTERN CAPITAL MGMT LLC |
1997 |
0 |
0 |
0 |
0 |
1 |
|
| FIRST TEXAS FUTURES INC |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| FIRST WALL STREET CORPORATION |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| FISHBACK BROKERAGE SERVICES INC |
1998 |
0 |
0 |
0 |
0 |
0 |
no current status |
| FISHER WILLIAM G |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| FISKE FINANCIAL INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| FITZGERALD COMMODITIES |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| FLANAGAN TRADING CORP |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| FLATIRON FUTURES LLC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| FLATIRONS FINANCIAL LLC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| FLINT HILLS COMMODITIES |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| FLOOR TRADE INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| FMR INC |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| FORD & YOUNG FUTURES & SECURITIES INC |
1987 |
0 |
1 |
0 |
0 |
0 |
|
| FOREMOST FUTURES LTD |
1990 |
0 |
0 |
0 |
0 |
1 |
no current status |
| FOREMOST TRADING GROUP INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| FORKS COMMODITIES |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| FORMOSA COMMODITY INC |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| FORTEX INVESTMENT GROUP |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| FOX FINANCIAL INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| FRANCIS A HEWES PARTNERSHIP IB |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| FRANK SCHNEIDER & CO INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| FRANKLIN & ASSOCIATES |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| FRANKLIN FINANCIAL INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| FRAZIER ASSOCIATES INC THE |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| FREEDOM FINANCIAL SERVICES CORPORATION |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| FREEMAN AND COMPANY |
1992 |
0 |
0 |
0 |
0 |
1 |
|
| FRETZ RAYMOND MORRIS |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| FRIDAY FINANCIAL GROUP LTD |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| FRONT RANGE INVESTOR SERVICES |
1992 |
0 |
0 |
0 |
0 |
0 |
no current status |
| FRONTIER EQUITY EXCHANGE ASSOCIATION |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| FRONTIER FUTURES ADMINISTRATORS INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| FRONTIER RISK MANAGEMENT LLC |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| FRONTIER TRADING COMPANY INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| FROST WILLIAM F |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| FSG INTERNATIONAL INCORPORATED |
1987 |
3 |
3 |
$585,000 fine $62,424 arb |
1W 2L |
59 |
|
| FSI FUTURES INC |
1978 |
6 |
1 |
$505,000 fine |
1W 0L |
14 |
|
| FTD COMMODITIES INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| FULMER STEVEN DALE |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| FURMAN SELZ ADVISORS LLC |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| FUTECH COMMODITY SERVICES INC |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURE DEVELOPMENTS INC |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURE FUNDING CONSULTANTS |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURE SIGNALS |
1995 |
0 |
0 |
0 |
0 |
1 |
|
| FUTURES & OPTIONS OF TEXAS |
1995 |
0 |
0 |
0 |
0 |
0 |
no current status |
| FUTURES ADVICE LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURES AMERICA.COM |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURES ANALYSTS AND TRADERS INC |
1994 |
0 |
0 |
0 |
0 |
0 |
no current status |
| FUTURES GEOMETRY |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURES GROUP INC |
1986 |
0 |
0 |
0 |
0 |
0 |
no current status |
| FUTURES INTERNATIONAL |
1988 |
0 |
1 |
$12,679 arb |
0W 1L |
4 |
|
| FUTURES INVESTMENT COMPANY |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURES MARKETING ENTERPRISES |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURES MART INC THE |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURES ROUTE INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURES TECHNOLOGY CORP |
1984 |
0 |
0 |
0 |
0 |
1 |
|
| FUTURES TECHNOLOGY INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURES TRADING CENTER INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURES TRADING CO |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURES TRADING INC |
1985 |
0 |
0 |
0 |
0 |
0 |
no current status |
| FUTURES USA |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURES WEST |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURES WORKSHOP |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURESEDGE |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURESGUIDE INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| FUTURESTRADE |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| FUTUREVEST FINANCIAL GROUP INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| FUTUREWISE TRADING GROUP INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| FUTUROS TRADING LLC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| FX BEST RATES.COM |
1999 |
0 |
0 |
0 |
0 |
0 |
no current status |
