| |
Last Reg. |
Regulatory |
NFA |
Fines, Actions or |
|
CFTC |
Registered Unless |
| FIRM NAME |
From… |
Actions |
Arbitrations |
Arbitration Awards |
Win / Loss |
Rep Cases |
Specified |
| W D S FINANCIALS |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| WAGNON COMMODITIES |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| WALL INVESTMENTS |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| WALSH PARTNERS CAPITAL CORPORATION |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| WALSH TRADING INC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| WARNER FINANCIAL GROUP |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| WARNER GROUP INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| WARREN D NADEL & COMPANY |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| WASENDORF & SON CO |
1985 |
0 |
2 |
0 |
2W 0L |
1 |
|
| WASHBURN ELEVATOR INC |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| WAVE TOOLS INVESTOR SERVICES |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| WAVECOUNT FUTURES INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| WAYNE GRIFFITH FUTURES INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| WEBB CAPITAL LP |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| WEDBUSH MORGAN SECURITIES |
1984 |
0 |
0 |
0 |
0 |
0 |
no current status |
| WEITZ STEVEN J |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| WELCH JERRY F DBA COMMODITY INSIGHT |
1984 |
0 |
1 |
0 |
1W 0L |
0 |
|
| WELLINGTON COMMODITIES CORP |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| WESCOM INVESTMENTS |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| WEST COOPER LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| WEST MICHIGAN COMMODITIES |
1987 |
0 |
0 |
0 |
0 |
2 |
|
| WEST OAK COMMODITIES INC |
1989 |
0 |
1 |
$450 arb |
0W 1L |
0 |
|
| WESTCOTT FUTURES INC |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| WESTERN COMMODITIES INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| WESTERN FEDERAL GROUP |
1988 |
0 |
15 |
0 |
15W 0L |
0 |
no current status |
| WESTERN ILLINOIS BROKERAGE |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| WESTMINSTER BROKERAGE LLC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| WESTPAN FUTURES INC |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| WG TRADING COMPANY LIMITED PARTNERSHIP |
1991 |
0 |
0 |
0 |
0 |
0 |
no current status |
| WHEATLAND BROKERAGE LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| WHEATLAND COMMODITIES |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| WHITE BUFFALO TRADING POST |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| WHITNEY CAPITAL MARKETS INC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| WICKHAM JAY |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| WILLIAM C BURNSIDE & CO INC |
1984 |
0 |
0 |
0 |
0 |
3 |
|
| WILLIAM P MILLER & COMPANY |
1982 |
0 |
0 |
0 |
0 |
0 |
|
| WILLIAM T KECK INC |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| WILLIAMS COMMODITY GROUP INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| WILSHIRE TRADING CO INC |
1983 |
0 |
0 |
0 |
0 |
0 |
no current status |
| WILSON-KING COMMODITIES INC |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| WILTSHIRE CAPITAL |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| WIMBERLY INVESTMENTS |
1990 |
0 |
0 |
0 |
0 |
0 |
|
| WINCHESTER USA INC |
1992 |
0 |
0 |
0 |
0 |
0 |
no current status |
| WINDHAM GROUP INC THE |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| WINDY CITY INVESTMENTS INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| WINNER GROUP INC THE |
1989 |
2 |
1 |
$22,000 fines |
1W 0L |
22 |
|
| WINTECH RESEARCH INC |
1991 |
0 |
0 |
0 |
0 |
7 |
|
| WJ NOLAN & COMPANY INC |
1996 |
0 |
0 |
0 |
0 |
0 |
no current status |
| WOMEX CAPITAL MANAGEMENT LLC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| WOODS ROY LEE |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| WOODSON ROSS |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| WORLD CAPITAL BROKERAGE SERVICES INC |
1998 |
0 |
0 |
0 |
0 |
0 |
|
| WORLD CAPITAL TRADING PARTNERSHIP |
1995 |
0 |
0 |
0 |
0 |
0 |
no current status |
| WORLD FUTURES FINANCIAL GROUP |
1997 |
0 |
0 |
0 |
0 |
2 |
|
| WORLD LINK FUTURES INC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| WORLDNET FINANCIAL CORP |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| WORLDWIDE ASSOCIATES LTD |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| WORLDWIDE COMMODITY CORPORATION |
1998 |
1 |
0 |
Pending |
0 |
0 |
|
| WORTHINGTON COMMODITY BROKERAGE |
1988 |
0 |
0 |
0 |
0 |
0 |
|
| WRAY A KUNKLE I INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| WRIGHT TRADING CO |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| WW INVESTMENTS INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
