| |
Last Reg. |
Regulatory |
NFA |
Fines, Actions or |
|
CFTC |
Registered Unless |
| FIRM NAME |
From? |
Actions |
Arbitrations |
Arbitration Awards |
Win / Loss |
Rep Cases |
Specified |
| H & S COMMODITIES |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| H BECK INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| H L CAMP FUTURES |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| H&H SECURITIES INC |
1987 |
0 |
0 |
0 |
0 |
0 |
no current status |
| HAGERTY STEWART & ASSOCIATES INC |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| HAMLIN AG MARKETING & CONSULTING LLC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| HANMI CONCEPTS |
1996 |
0 |
0 |
0 |
0 |
0 |
no current status |
| HANMI SECURITIES INC |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| HANSEN ASSOCIATES |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| HARDY COMMODITIES |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| HAROMY TULI P |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| HARPOON CAPITAL CORP |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| HARRIS CAPITAL MANAGEMENT INC |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| HARRIS CRANE INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| HART FINANCIAL GROUP LLC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| HARTNESS & COMPANY INC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| HARVEST INTERNATIONAL CONSULTANTS INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| HARVEST TRADING GROUP LLC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| HAUT COMMODITIES LLC |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| HAYES COMMODITIES INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| HEARTLAND AG MARKETING |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| HEARTLAND INVESTOR SERVICES |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| HEARTLAND INVESTOR SERVICES INC |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| HEARTLAND MGMT INVESTOR SERVICES INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| HEGEMONY INVESTOR SERVICES INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| HEINOLD COMMODITIES LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| HEMPHILL COMMODITIES |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| HENCORP BECSTONE FUTURES LC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| HENDRICHSEN & ASSOCIATES |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| HERITAGE FINANCIAL INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| HERITAGE WEST FINANCIAL INC |
1990 |
0 |
1 |
$4,404 arb |
0W? 1L |
3 |
|
| HERSOM COMMODITY BROKERAGE |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| HIGH PLAINS COMMODITIES |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| HIGHLAND FINANCIAL GROUP INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| HILLS CAPITAL MANAGEMENT |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| HILLTOP TRADING COMPANY INC |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| HITCH COMMODITIES INC |
1983 |
0 |
0 |
0 |
0 |
0 |
|
| HI-TECH FUTURES TRADING INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| HO & ASSOCIATES |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| HOLCO COMMODITIES INC |
1982 |
0 |
0 |
0 |
0 |
0 |
|
| HOLLENCREST SECURITIES LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| HOLLIS COMPANY THE |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| HOLMES COMMODITIES |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| HORIZON FUTURES INTERNATIONAL INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| HORNSBY & COMPANY INC |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| HORTA INTERNATIONAL LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| HS FUTURES LP |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| HTC COMMODITIES LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| HUDDLESTON COMMODITIES |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| HUDSON COMMODITIES GROUP INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| HUME FUTURES INC |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| HUNTINGTON FINANCIAL COMPANY |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| HURLEY & ASSOC OF BRIMFIELD INC |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| HURLEY & ASSOCIATES INC |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| HUTCH COMMODITIES |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| HYUNDAI SECURITIES AMERICA INC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
