NFA/ CFTC

60 topics in this forum

1. CFTC mit neuer Verbraucherschutzwebseite

   By whipsaw, November 19, 2014
   • 0 replies
   • 1.9k views
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   • whipsaw
   • November 19, 2014

2. NFA takes emergency enforcement action against Oregon firm System Capital LLC and its principal

   By FX, May 29, 2010   

   • nfa/cftc-news
   • 0 replies
   • 2.4k views
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   • FX
   • May 29, 2010

3. NFA takes emergency enforcement action against Oregon firm System Capital LLC and its principal

   By FX, May 29, 2010   

   • nfa/cftc-news
   • 0 replies
   • 2.2k views
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   • FX
   • May 29, 2010

4. NFA accepts offer from California firm Integrity FX LLC and one of its principals to permanently withdraw from NFA membership

   By FX, May 20, 2010
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   • 2.1k views
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   • FX
   • May 20, 2010

5. NFA permanently bars Florida firm, City Capital Management LLC and its principal

   By FX, May 8, 2010
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   • 2.2k views
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   • FX
   • May 8, 2010

6. NFA permanently bars Chicago forex firm AVS Carter Financial, Inc. and sanctions its principal

   By FX, April 28, 2010
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   • 2.1k views
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   • FX
   • April 28, 2010

7. NFA permanently bars Houston firm Commodity Futures & Options Service, Inc.; sanctions its principal

   By FX, April 27, 2010
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   • 1.9k views
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   • FX
   • April 27, 2010

8. NFA permanently bars Boca Raton firm, Windsor Wealth Management LLC

   By FX, April 24, 2010
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   • 2k views
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   • FX
   • April 24, 2010

9. NFA fines Chicago firm Brewer Futures Group LLC and its principal $100,000

   By FX, April 17, 2010
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   • 2.3k views
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   • FX
   • April 17, 2010

10. National Futures Association and AARP co-sponsor "Operation Fight Fraud" during Money Smart Week

    By FX, April 13, 2010
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    • 2.2k views
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    • FX
    • April 13, 2010

11. Charles Mitchell d/b/a Hindsight Commodity Traders agrees to withdraw from NFA membership for seven years

    By FX, March 11, 2010
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    • 2.6k views
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    • FX
    • March 11, 2010

12. NFA takes an emergency enforcement action against IAG Capital Management, LLC, William P. Kelly and Timothy M. Murphy

    By FX, March 10, 2010
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    • 2.3k views
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    • FX
    • March 10, 2010

13. NFA revokes registration of several associated persons of former Boca Raton futures firm

    By FX, March 4, 2010
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    • 2.1k views
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    • FX
    • March 4, 2010

14. National Futures Association announces Board of Directors election results

    By FX, February 23, 2010
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    • 2.4k views
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    • FX
    • February 23, 2010

15. Dallas firms Frontline Financial, Inc. and Frontline Advisors LLC ordered to permanently withdraw from NFA membership

    By FX, February 19, 2010
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    • 2.1k views
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    • FX
    • February 19, 2010

16. NFA permanently bars Colorado firm CFS Capital Management LLC and sanctions its principals

    By FX, February 9, 2010
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    • 2.1k views
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    • FX
    • February 9, 2010

17. In separate actions, NFA permanently bars futures firms in Puerto Rico and California

    By FX, February 9, 2010
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    • 2.1k views
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    • FX
    • February 9, 2010

18. NFA bars NY firm Capital FX LLC and its principal

    By FX, February 6, 2010
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    • 2.2k views
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    • FX
    • February 6, 2010

19. NFA sanctions Las Vegas commodity trading advisor and its principal

    By FX, February 2, 2010
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    • 2.2k views
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    • FX
    • February 2, 2010

20. NFA permanently bars Barbados futures firm and bars principal for three years

    By FX, January 28, 2010
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    • 2.1k views
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    • FX
    • January 28, 2010

21. NFA takes an emergency enforcement action against two California futures firms and its principal

    By FX, January 23, 2010
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    • 2.3k views
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    • FX
    • January 23, 2010

22. NFA permanently bars Chicago commodity pool operator, Wextrade Commodity Managers LLC

    By FX, January 22, 2010
    • 0 replies
    • 2k views
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    • FX
    • January 22, 2010

23. NFA bars Florida firm, Cani Financial Advisors LLC and its principal, for a period of five years

    By FX, January 20, 2010
    • 0 replies
    • 2k views
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    • FX
    • January 20, 2010

24. NFA permanently bars California commodity trading advisor Parman Financial and its principal

    By FX, January 5, 2010
    • 0 replies
    • 2k views
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    • FX
    • January 5, 2010

25. NFA permanently bars Arizona firm Wholesale Asset Management LLC and its principal

    By FX, December 19, 2009
    • 0 replies
    • 2.3k views
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    • FX
    • December 19, 2009