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NFA/ CFTC

aktuelle Publikationen der US Aufsichtsbehörden

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	Topic	Started By	Stats	Last Post Info
	CFTC mit neuer Verbraucherschutzwebseite Started by whipsaw , 19. Nov. 2014		0 replies 1,130 views	whipsaw 19. Nov. 2014
	NFA takes emergency enforcement action against Oregon firm System Capital LLC and its principal Started by FX , 29. May. 2010 nfa/cftc-news		0 replies 1,437 views	FX 29. May. 2010
	NFA takes emergency enforcement action against Oregon firm System Capital LLC and its principal Started by FX , 29. May. 2010 nfa/cftc-news		0 replies 1,668 views	FX 29. May. 2010
	NFA accepts offer from California firm Integrity FX LLC and one of its principals to permanently withdraw from NFA membership Started by FX , 20. May. 2010		0 replies 1,354 views	FX 20. May. 2010
	NFA permanently bars Florida firm, City Capital Management LLC and its principal Started by FX , 08. May. 2010		0 replies 1,474 views	FX 08. May. 2010
	NFA permanently bars Chicago forex firm AVS Carter Financial, Inc. and sanctions its principal Started by FX , 28. Apr. 2010		0 replies 1,376 views	FX 28. Apr. 2010
	NFA permanently bars Houston firm Commodity Futures & Options Service, Inc.; sanctions its principal Started by FX , 27. Apr. 2010		0 replies 1,372 views	FX 27. Apr. 2010
	NFA permanently bars Boca Raton firm, Windsor Wealth Management LLC Started by FX , 24. Apr. 2010		0 replies 1,320 views	FX 24. Apr. 2010
	NFA fines Chicago firm Brewer Futures Group LLC and its principal $100,000 Started by FX , 17. Apr. 2010		0 replies 1,537 views	FX 17. Apr. 2010
	National Futures Association and AARP co-sponsor "Operation Fight Fraud" during Money Smart Week Started by FX , 13. Apr. 2010		0 replies 1,494 views	FX 13. Apr. 2010
	Charles Mitchell d/b/a Hindsight Commodity Traders agrees to withdraw from NFA membership for seven years Started by FX , 11. Mar. 2010		0 replies 1,512 views	FX 11. Mar. 2010
	NFA takes an emergency enforcement action against IAG Capital Management, LLC, William P. Kelly and Timothy M. Murphy Started by FX , 10. Mar. 2010		0 replies 1,594 views	FX 10. Mar. 2010
	NFA revokes registration of several associated persons of former Boca Raton futures firm Started by FX , 04. Mar. 2010		0 replies 1,381 views	FX 04. Mar. 2010
	National Futures Association announces Board of Directors election results Started by FX , 23. Feb. 2010		0 replies 1,501 views	FX 23. Feb. 2010
	Dallas firms Frontline Financial, Inc. and Frontline Advisors LLC ordered to permanently withdraw from NFA membership Started by FX , 19. Feb. 2010		0 replies 1,338 views	FX 19. Feb. 2010
	NFA permanently bars Colorado firm CFS Capital Management LLC and sanctions its principals Started by FX , 09. Feb. 2010		0 replies 1,368 views	FX 09. Feb. 2010
	In separate actions, NFA permanently bars futures firms in Puerto Rico and California Started by FX , 09. Feb. 2010		0 replies 1,334 views	FX 09. Feb. 2010
	NFA bars NY firm Capital FX LLC and its principal Started by FX , 06. Feb. 2010		0 replies 1,455 views	FX 06. Feb. 2010
	NFA sanctions Las Vegas commodity trading advisor and its principal Started by FX , 02. Feb. 2010		0 replies 1,429 views	FX 02. Feb. 2010
	NFA permanently bars Barbados futures firm and bars principal for three years Started by FX , 28. Jan. 2010		0 replies 1,367 views	FX 28. Jan. 2010
	NFA takes an emergency enforcement action against two California futures firms and its principal Started by FX , 23. Jan. 2010		0 replies 1,524 views	FX 23. Jan. 2010
	NFA permanently bars Chicago commodity pool operator, Wextrade Commodity Managers LLC Started by FX , 22. Jan. 2010		0 replies 1,291 views	FX 22. Jan. 2010
	NFA bars Florida firm, Cani Financial Advisors LLC and its principal, for a period of five years Started by FX , 20. Jan. 2010		0 replies 1,344 views	FX 20. Jan. 2010
	NFA permanently bars California commodity trading advisor Parman Financial and its principal Started by FX , 05. Jan. 2010		0 replies 1,350 views	FX 05. Jan. 2010
	NFA permanently bars Arizona firm Wholesale Asset Management LLC and its principal Started by FX , 19. Dec. 2009		0 replies 1,521 views	FX 19. Dec. 2009
	NFA bars James C. Morton, former principal of GlobeFX Club Inc., from acting as principal for a period of five years Started by FX , 26. Nov. 2009		0 replies 1,478 views	FX 26. Nov. 2009
	NFA accepts offer from Tennessee firm Blue Sky Capital Management Corp. and its principal to permanently withdraw from NFA membership Started by FX , 24. Nov. 2009		0 replies 1,371 views	FX 24. Nov. 2009
	NFA permanently bars New York firm Changes Capital Management LLC and its principal Started by FX , 23. Sep. 2009		0 replies 1,475 views	FX 23. Sep. 2009
	NFA permanently bars True Vector Trading Group LLC and its principal Started by FX , 23. Sep. 2009		0 replies 1,563 views	FX 23. Sep. 2009
	NFA permanently bars Florida firm GlobeFX Club Inc. Started by FX , 22. Sep. 2009		0 replies 1,969 views	FX 22. Sep. 2009

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