| |
Last Reg. |
Regulatory |
NFA |
Fines, Actions or |
|
CFTC |
Registered Unless |
| FIRM NAME |
From… |
Actions |
Arbitrations |
Arbitration Awards |
Win / Loss |
Rep Cases |
Specified |
| P&K ENERGY INC |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| PACIFIC RIM ASSET MANAGEMENT INC |
1996 |
0 |
0 |
0 |
0 |
1 |
|
| PACIFIC WEST SECURITIES INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| PACMA INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| PALI CAPITAL LLC |
2001 |
0 |
0 |
0 |
0 |
0 |
no current status |
| PALMETTO GRAIN BROKERAGE LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| PALMETTO STATE COMMODITIES |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| PARADISE FUTURES LTD |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| PARAGON FUTURES GROUP INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| PARAGON INVESTMENTS INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| PARIS SECURITIES CORP |
1997 |
1 |
0 |
$175,000 fine |
0 |
1 |
|
| PARKER TRADING INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| PATTISON COMMODITIES |
1984 |
0 |
0 |
0 |
0 |
2 |
|
| PAUL BATES ENTERPRISES INC |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| PAVCO FUTURES |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| PAYDIRT COMMODITIES |
1999 |
1 |
0 |
0 |
0 |
0 |
no current status |
| PEACOCK TRADING INC |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| PEARCE FINANCIAL GROUP |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| PEDERSON SIDNEY G COMMODITIES |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| PEEKE JAMES B |
1997 |
0 |
0 |
0 |
0 |
0 |
no current status |
| PENNINGS MARKETING |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| PENNINGTON BASS & ASSOCIATES INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| PETROS FUTURES & OPTIONS |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| PGA FUTURES INC |
1995 |
0 |
0 |
0 |
0 |
1 |
no current status |
| PHENMAR INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| PHOENIX TRADING CO INC |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| PHOENIX TRADING GROUP OF OHIO INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| PIEDMONT FUTURES LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| PIEDMONT TRADING INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| PINNACLE FUTURES INC |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| PIONEER COMMODITIES |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| PIONEER COMMODITIES |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| PIONEER COMMODITIES OF BELOIT |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| PIONEER COMMODITIES OF WALNUT RIDGE |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| PIPELINE PRODUCTS LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| PITTSBURG INSTITUTIONAL INC |
1999 |
0 |
0 |
0 |
0 |
0 |
no current status |
| PITTSBURGH FUTURES GROUP INC |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| PIXLEY GROUP LLC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| PLAINS COMMODITIES CO |
1984 |
0 |
0 |
0 |
0 |
0 |
no current status |
| PLATTE VALLEY FUTURES |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| PLEION TRADING |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| PMG CAPITAL GROUP LLC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| POINT WEST SECURITIES LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
no current status |
| POKY TRADING COMPANY |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| POLAR INVESTMENT COUNSEL INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| POTOMAC TRADING INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| POWER TRADING DISCOUNT BROKERAGE |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| POWERS DAVID ROBERT |
2001 |
0 |
0 |
0 |
0 |
0 |
no current status |
| PPNP LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
no current status |
| PRAIRIE BROKERAGE SERVICES L L C |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| PRAIRIE CAPITAL MANAGEMENT |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| PRAIRIE STATES COMMODITIES INC |
1985 |
0 |
1 |
0 |
1W 0L |
0 |
|
| PRAIRIE TRADERS |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| PRAIRIE TRADERS OF IOWA INC |
1991 |
0 |
0 |
0 |
0 |
0 |
no current status |
| PREBON FUTURES INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| PREMIER FUTURES LLC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| PRESTON HEAD LIMITED |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| PRICE FUTURES GROUP INC THE |
1995 |
1 |
0 |
$5,000 FINE |
0 |
1 |
|
| PRIME TIME INVESTMENT SERVICES INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| PRIMESOLUTIONS SECURITIES INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| PRITCHARD WILLIAMS & SON TRADING CO |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| PRIVATE ASSET GROUP LLC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| PRIVATE FUTURES GROUP LLC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| PRO TRADE INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| PRO TRADERS INC |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| PRODUCERS TRADING COMPANY |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| PROFESSIONAL CMDTS MGMT OF DODGE CITY |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| PROFESSIONAL COMM MGT OF NORTH PLATTE |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| PROFESSIONAL COMMOD MGT OF DALHART TX |
1997 |
0 |
0 |
0 |
0 |
0 |
no current status |
| PROFESSIONAL COMMODITIES MANAGEMENT |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| PROFESSIONAL COMMODITY TRADERS INC |
2001 |
0 |
0 |
0 |
0 |
0 |
no current status |
| PROFESSIONAL ENERGY MANAGEMENT INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| PROFESSIONAL FINANCIAL STRATEGIES INCORP |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| PROFESSIONAL SERVICES INC |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| PROFESSIONAL TRADING |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| PROFITUNITY TRADING GROUP |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| PROGRESSIVE AG MARKETING INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| PROGRESSIVE FARM MARKETING INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| PROTRADER FUTURES |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| PROTRADER SECURITIES CORPORATION |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| PRS INTERNATIONAL BROKERAGE INC |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| PTI SECURITIES & FUTURES LP |
1992 |
0 |
0 |
0 |
0 |
1 |
|
| PVM OIL FUTURES INC |
1983 |
0 |
0 |
0 |
0 |
0 |
|
| PYRAMID FUTURES INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
