| |
Last Reg. |
Regulatory |
NFA |
Fines, Actions or |
|
CFTC |
Registered Unless |
| FIRM NAME |
From… |
Actions |
Arbitrations |
Arbitration Awards |
Win / Loss |
Rep Cases |
Specified |
| U WIN INVESTMENT INC |
1989 |
0 |
0 |
0 |
0 |
0 |
|
| UBS PAINEWEBBER INCORP OF PUERTO RICO |
1991 |
0 |
0 |
0 |
0 |
0 |
|
| UNION BROKERAGE CO INC |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| UNITED BROKERAGE |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| UNITED COMMODITY TRADERS INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| UNITED ENERGY INC |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| UNITED FINANCIAL TRADING CORP |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| UNITED FUTURES GROUP INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| UNITED FUTURES TRADING COMPANY INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| UNIVERSAL COMMODITIES LTD |
1984 |
1 |
0 |
$2,000 fine |
0 |
0 |
|
| UOT FINANCIAL SERVICES LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| URSA BROKERAGE INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| US COMMODITIES GROUP INC |
1999 |
0 |
0 |
0 |
0 |
1 |
|
| US COMMODITIES INC |
1987 |
0 |
0 |
0 |
0 |
2 |
|
| US FUTURES & OPTIONS LLC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| US INVESTMENT GROUP INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| US OPTIONS CORP |
1996 |
1 |
0 |
Pending |
0 |
2 |
|
| UTRADE COM INC |
1999 |
0 |
0 |
0 |
0 |
1 |
|
| UTTERBACK MARKETING SERVICES INC |
1991 |
0 |
0 |
0 |
0 |
0 |
|
