| |
Last Reg. |
Regulatory |
NFA |
Fines, Actions or |
|
CFTC |
Registered Unless |
| FIRM NAME |
From… |
Actions |
Arbitrations |
Arbitration Awards |
Win / Loss |
Rep Cases |
Specified |
| R B & H COMMODITIES |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| R G INVESTMENTS |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| R V COMMODITIES |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| R&D COMMODITIES |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| R&H COMMODITIES INC |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| R&R COMMODITIES |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| RAIMUND COMMODITIES INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| RAINEY COMMODITIES INC |
1983 |
0 |
0 |
0 |
0 |
0 |
|
| RALPH & ASSOCIATES LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| RAMSEY FINANCIAL INC |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| RANDOLPH J GINSBERG INTRDCG BROKERAGE |
1994 |
1 |
0 |
personal felony |
0 |
1 |
|
| RAP FINANCIAL LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| RARICK COMMODITIES INC |
1982 |
0 |
0 |
0 |
0 |
0 |
|
| RAY FLOWERS ENTERPRISES INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| RAYMOND JAMES FINANCIAL SERVICES INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| RB ASSOCIATES INC |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| RB MCGOVERN & ASSOCIATES |
1987 |
0 |
1 |
$2,499 arb |
0W 1L |
1 |
|
| RC FUTURES |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| RCO FINANCIAL INC |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| RE HICKS AND CO |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| REARDON INC |
1982 |
0 |
0 |
0 |
0 |
0 |
|
| RECINE TRADING COMPANY |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| RED WOLF RESEARCH LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| REDFIELD INVESTMENT SERVICES INC |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| REDI INVESTMENTS LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| REDLANDS FUTURES AND OPTIONS |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| REDSTONE CAPITAL MANAGEMENT INC |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| REED COMMODITIES |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| REICHERT MICHAEL ALBERT |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| REIFF GRAIN & FEED |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| REIFLER CAPITAL ADVISORS |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| REIS AG MKT |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| REISER COMMODITIES |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| RELIANT GLOBAL MARKETS LLC |
2001 |
0 |
0 |
0 |
0 |
0 |
no current status |
| RESOURCE ET LLC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| RESOURCE SECURITIES CORPORATION |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| RGJ TRADING INC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| RHINO TRADING INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| RICE INVESTMENT COMPANY |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| RICHARD A ROSENBLATT & CO INC |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| RIDERWOOD GROUP INCORPORATED THE |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| RILEY FUTURES GROUP |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| RISK CAPITAL TRADING GROUP INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| RISK MANAGEMENT CONSULTING |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| RISK MANAGEMENT INCORPORATED |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| RIVER BROKERAGE INC |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| RIVER VALLEY MARKETING SERVICES INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| RJ FITZGERALD & COMPANY INC |
1992 |
1 |
0 |
Defeated CFTC charges |
0 |
9 |
no current status |
| RL&D COMMODITIES INC |
1984 |
0 |
0 |
0 |
0 |
2 |
|
| RLI |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| RM STARK & CO |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| RML TRADING |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| ROACH AG MARKETING LTD |
1982 |
0 |
0 |
0 |
0 |
0 |
|
| ROBBINS TRADING COMPANY |
1984 |
2 |
2 |
$35,000 fines |
2W 0L |
10 |
|
| ROBERSON LARRY RANDALL |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| ROBERT W BAIRD & COMPANY INCORPORATED |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| ROBERTS & RYAN INVESTMENTS INC |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| ROCHESTER COMMODITY INVESTOR SERVICES |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| ROCKWELL INVESTMENTS INC |
1982 |
0 |
0 |
0 |
0 |
0 |
|
| ROCKY MOUNTAIN COMMODITY BROKERAGE |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| ROGER W BLIMLING INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| ROLLA SEED CO |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| ROSE TRADING COMPANY |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| ROSENTHAL COLLINS SECURITIES LLC |
1996 |
0 |
0 |
0 |
0 |
0 |
no current status |
| ROSS & SCHUBERT INC |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| ROY E ABBOTT FUTURES INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| ROYAL PALM TRADING CO INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| RP CONSULTING GROUP INC |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| RTG LLC |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| RUFENACHT COMMODITIES INC |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| RUSSELL ASSET MANAGEMENT |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| RUVANE INVESTMENT CORPORATION |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| RW SIBLEY COMMODITIES |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| RWA FINANCIAL SERVICES INC |
1982 |
0 |
0 |
0 |
0 |
0 |
|
| RXR SECURITIES INC |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| RYAN INVESTMENTS |
2000 |
0 |
0 |
0 |
0 |
0 |
|
