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BROKER'S COMPLAINT HISTORY LIST - N's

  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  

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