| |
Last Reg. |
Regulatory |
NFA |
Fines, Actions or |
|
CFTC |
Registered Unless |
| FIRM NAME |
From… |
Actions |
Arbitrations |
Arbitration Awards |
Win / Loss |
Rep Cases |
Specified |
| NAIB BROKERAGE SERVICES INC |
1988 |
0 |
0 |
0 |
0 |
1 |
|
| NATEXIS METALS INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| NATIONAL PENSION & GROUP CONSULTANTS INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| NATIONAL PRODUCERS SERVICE COMPANY |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| NATIONSVEST FINANCIAL CORPORATION |
2001 |
0 |
0 |
0 |
0 |
0 |
no current status |
| NAUTICA FINANCIAL CORPORATION |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| NBK TRADING GROUP INC |
1987 |
0 |
1 |
$805 arb |
0W 1L |
1 |
|
| NDSC/SOUTHWEST COMMODITIES |
1988 |
1 |
0 |
$10,000 fine |
0 |
1 |
|
| NETWORK CAPITAL ADVISORS INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| NEVADA GRAIN AND FUTURES COMPANY INC |
1999 |
0 |
0 |
0 |
0 |
0 |
no current status |
| NEW CENTURY FINANCIAL |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| NEW ORLEANS FUTURES INC |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| NEW WORLD MANAGEMENT CORP |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| NEWBRIDGE INTERNATIONAL INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| NEWPORT COMMODITIES |
1983 |
1 |
2 |
$5,000 fine $35,089 arb |
1W 1L |
0 |
|
| NEXT FUTURES LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| NEXTSOURCE TRADING CORPORATION |
1999 |
0 |
0 |
0 |
0 |
2 |
|
| NIGHTHAWK PARTNERS INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| NIKOLAISEN THOMAS ALAN SR |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| NK COMMODITY BROKERS INC |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| NM ROTHSCHILD & SONS DENVER INC |
1996 |
0 |
0 |
0 |
0 |
0 |
no current status |
| NOBLE COCOA SERVICES INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| NORCAL COMMODITY TRADING |
1997 |
0 |
0 |
0 |
0 |
1 |
|
| NORFOLK LIVESTOCK MARKET INC |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| NORSHIELD SECURITIES LTD |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| NORTH AMERICA RISK MANAGEMENT SVCS INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| NORTH IOWA COMMODITIES CO |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| NORTH STAR FUTURES |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| NORTH STAR FUTURES & OPTIONS INC |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| NORTHEAST COMMODITIES CORP |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| NORTHERN CROPS MARKETING & INVSTMNTS LTD |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| NORTHLAND FUTURES INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| NORTHSTAR COMMODITY INVESTMENT CO |
1990 |
0 |
0 |
0 |
0 |
1 |
|
| NORTHWEST COMMODITIES |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| NORTHWEST COMMODITIES INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| NORTHWEST FUTURES |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| NORTHWOOD FINANCIAL SERVICES LTD |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| NORWOOD KENNETH M |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| NORWOOD SECURITIES |
1982 |
0 |
0 |
0 |
0 |
0 |
|
