| |
Last Reg. |
Regulatory |
NFA |
Fines, Actions or |
|
CFTC |
Registered Unless |
| FIRM NAME |
From… |
Actions |
Arbitrations |
Arbitration Awards |
Win / Loss |
Rep Cases |
Specified |
| S FUTURES |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| S&H MARKETING INCORPORATED |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| SADDLE RIVER FUTURES TRADING GROUP INC |
1997 |
0 |
0 |
0 |
0 |
0 |
no current status |
| SAINT CLOUD FUTURES |
1995 |
0 |
0 |
0 |
0 |
0 |
no current status |
| SAMSON INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| SAN ANTONIO COMMODITIES |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| SAND BURR TRADING |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| SANDERS COMMODITIES |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| SARGENT MICHAEL GEOFFREY |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| SAVVY TRADE INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| SAVVY TRADING CO |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| SAWGRASS FINANCIAL GROUP INC |
1994 |
0 |
0 |
0 |
0 |
1 |
|
| SAWTOOTH DISCOUNT FUTURES |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| SCECAP CORPORATION |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| SCHILD ASSET MANAGEMENT INC |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| SCHLABS & HYSINGER COMMODITY SERVICES |
1981 |
0 |
0 |
0 |
0 |
0 |
|
| SCHMALE FEED & SUPPLY INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| SCHNEIDERMAN ARTHUR |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| SCHOFF & BAXTER INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| SCHOON TRADING COMPANY |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| SCHWIETERMAN INC |
1988 |
0 |
1 |
0 |
1W 0L |
0 |
|
| SCI |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| SCIOTA TRADING LTD |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| SEAMANS INVESTMENTS INC |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| SECTOR FINANCIAL SERVICES LLC |
1998 |
0 |
0 |
0 |
0 |
0 |
no current status |
| SECURE AMERICAN TRADING LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| SECURITIES AMERICA INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| SEELEY ROBERT MAURICE |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| SENTINEL FUTURES |
1991 |
0 |
0 |
0 |
0 |
0 |
no current status |
| SENTRA SECURITIES CORPORATION |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| SEYMOUR JEFFREY LIONEL |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| SHAMROCK PARTNERS INC |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| SHEFFIELD CAPITAL MANAGEMENT |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| SHELDON COMMODITIES INC |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| SHERRY EVETTE N |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| SHERWOOD FUTURES GROUP INC |
1994 |
0 |
0 |
0 |
0 |
0 |
no current status |
| SHOCKLEY INVESTMENT CO |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| SHORELINE INTERNATIONAL LLC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| SHURTZ COMMODITY TRADING INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| SIERRA CAPITAL MANAGEMENT LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| SIERRA MESA TRADING |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| SILICON VALLEY SECURITIES |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| SILVER CROWN COMMODITIES CORP |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| SILVERMAN MICHAEL ALLAN |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| SINGLE PINE INC |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| SINTA COMMODITIES SERVICE CO |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| SIONS GROUPE INTERNATIONAL INC |
1995 |
0 |
0 |
0 |
0 |
1 |
|
| SKY COMMODITIES RLLP |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| SKYHIGH STOCKS & FUTURES |
1998 |
0 |
0 |
0 |
0 |
0 |
no current status |
| SLAUGHTER DEREK JAY |
1997 |
0 |
0 |
0 |
0 |
0 |
no current status |
| SLEZAK GEORGE JOHN |
1999 |
0 |
0 |
0 |
0 |
1 |
|
| SLIPKA TRADING CORP |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| SMART FUTURES LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| SMART TRADES INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| SMITHTOWN COMMODITIES LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| SNAKE RIVER TRADING COMPANY |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| SNR FINANCIAL |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| SOCIETE GENERALE NEW YORK BRANCH |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| SOCKEYE TRADING |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| SOGEMIN METALS INC |
1990 |
1 |
0 |
$500,000 fine |
0 |
0 |
no current status |
| SOL RICH & COMPANY |
1982 |
0 |
0 |
0 |
0 |
0 |
|
| SOLOMON SMITH INC |
1999 |
0 |
0 |
0 |
0 |
0 |
no current status |
| SORENSEN-YAGGIE COMMODITIES INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| SOUTH FUTURES LIMITED |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| SOUTH SHORE TRADING AND HEDGING INC |
1995 |
1 |
0 |
$5,000 fine |
0 |
0 |
|
| SOUTHEAST COMMODITIES CORP |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| SOUTHWEST COMMODITIES |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| SOUTHWEST COMMODITIES INC |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| SOUTHWEST FINANCIAL SERVICES |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| SOUTHWEST FUTURES |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| SOUTHWEST FUTURES INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| SOUTHWEST SECURITIES INC |
1983 |
0 |
0 |
0 |
0 |
0 |
|
| SOUTHWICK INVESTMENTS INC |
1994 |
0 |
0 |
0 |
0 |
0 |
no current status |
| SOVEREIGN CAPITAL MANAGEMENT INC |
1999 |
0 |
0 |
0 |
0 |
0 |
no current status |
| SPARKS CAPITAL CORPORATION |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| SPARKS GROUP FUTURES TRADING |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| SPECTRUM ASSET MANAGEMENT INC |
1986 |
0 |
0 |
0 |
0 |
0 |
|
| SPECTRUM COMMODITIES |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| SPEER COMMODITY FUTURES |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| SPELMAN & CO INC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| SPITZACK MAYNARD ALBERT |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| SPOOZ PUBLISHING GROUP INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| STA TRADING SERVICES CORP |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| STABLE INVESTMENTS |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| STAFF USA INC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| STANDARD NEW YORK SECURITIES INC |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| STANFORD GROUP COMPANY |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| STARBOARD CAPITAL MARKETS INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| STATE STREET CAPITAL MARKETS LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| STATEWIDE TRADING CORPORATION |
1987 |
0 |
0 |
0 |
0 |
6 |
|
| STATON COMMODITIES |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| STEBEN & COMPANY INC |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| STERLING COMMODITIES TRADING INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| STERLING EQUITY INC |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| STERLING FINANCIAL INVESTMENT GROUP INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| STERLING FUTURES |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| STERLING SMITH CORPORATION |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| STERLING TRADING COMPANY |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| STEWART-MILLER FUTURES LTD |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| STEWART-PETERSON GROUP INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| STIFEL NICOLAUS & CO INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| STILES TRADING |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| STRATEGIC FOCUS GROUP INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| STRATEGIC FUTURES AND OPTIONS INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| STRATEGIC WORLDWIDE LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| STRIKER SECURITIES INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| STROME SECURITIES LP |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| STRUCTURE TRADING |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| STUART FINANCIAL GROUP INTERNATIONAL INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| STUART TRADING COMPANY |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| SUE'S COMMODITIES |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| SUMMIT CAPITAL GROUP LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| SUMMIT FINANCIAL INVESTMENTS INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| SUN COAST COMMODITIES INC |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| SUNSTATE FUTURES INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| SUPER FUND FINANCIAL GROUP INC |
1984 |
1 |
0 |
$50,000 fine |
0 |
9 |
|
| SUPERIOR COMMODITIES INCORPORATED |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| SUTRO & CO INCORPORATED |
1983 |
0 |
0 |
0 |
0 |
0 |
|
| SWARTS BROKERAGE |
1986 |
0 |
0 |
0 |
0 |
1 |
|
| SWISS FINANCIAL SERVICES INC |
1986 |
2 |
0 |
$5,000 fine |
0 |
11 |
|
| SYMMETRY PARTNERS LLC |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| SYSTEMBROKER |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| SYTEK |
1998 |
0 |
0 |
0 |
0 |
0 |
|
