December 07, 2012
NFA takes emergency enforcement action against New York forex dealer member, FX Direct Dealer, LLC (FXDD)
December 06, 2012
NFA permanently bars commodity trading advisor, Strategic Trading Associates LLC, and temporarily bars its principal, Francis Littleton
November 19, 2012
NFA takes emergency enforcement action against California firm KS Global Strategies, Inc. and its principal, Khaled Salama
November 07, 2012
NFA Improves Transparency for Futures Customers: Public online access to FCM financial information begins today
October 30, 2012
NFA fines New York forex firm, Forex Club LLC, and its former CEO Peter Tatarnikov, $300,000
October 04, 2012
NFA permanently bars New York commodity trading advisor, BKT Capital Management, and Basil R. Fayadh, an associated person and principal
September 25, 2012
NFA permanently bars West Bloomfield, Michigan futures firm, Atlantas Group Inc.; bars Edmund K. Hysni, the firm's owner and principal, and associated person Steven H. Joseff
August 16, 2012
NFA's Board of Directors approves rule to enhance the customer segregated funds protection regime
July 26, 2012
NFA issues $200,000 fine against New York forex firm Alpari US LLC
July 23, 2012
National Futures Association launches education initiative in wake of CFTC rule amendments rescinding exemptions from registration for commodity pool operators and commodity trading advisors
July 17, 2012
Futures industry SRO committee announces additional initiatives to strengthen safeguards for customer segregated funds
July 16, 2012
National Futures Association announces review of FCM audit practices relating to customer segregated funds
July 12, 2012
NFA Signs Agreement with Phoenix Partners Group to Provide Regulatory Services to Phoenix's Swap Execution Facility
July 09, 2012
NFA takes emergency enforcement action against Chicago futures firms Peregrine Financial Group, Inc. and Peregrine Asset Management, Inc.
June 22, 2012
NFA takes emergency enforcement action against Florida commodity pool operator and forex firm, Altamont Global Partners and its principal
June 21, 2012
NFA permanently bars Boulder, Colorado futures firms, Arjent Capital Advisors LLC and Chicago Trading Managers LLC; bars Spencer K. Montgomery, the firms' principal, for three years
June 20, 2012
NFA permanently bars McLean, Virginia futures firm, SureInvestment LLC and its principals, Benjamin Wilson and Crosby Wood
June 18, 2012
NFA permanently bars Auburn, Alabama futures firm, TS Capital Management
June 12, 2012
NFA takes emergency enforcement action against Louisiana firms, Level III Management LLC and Level III Trading LLC, and their principal
May 29, 2012
National Futures Association proposes new financial requirements for FCM treatment of customer segregated funds
May 02, 2012
NFA fines Chicago futures firm Olympus Futures and its owner Howard Malman
April 20, 2012
National Futures Association permanently bars Maryland firm Trade Dock Capital
April 19, 2012
National Futures Association presents Money Smart Week seminar - "Introduction to Futures and Options and Avoiding Investment Fraud"
April 17, 2012
National Futures Association, CFTC and AARP co-sponsor "Avoiding Fraud is Your Best Money Strategy" during Money Smart Week
April 05, 2012
NFA permanently bars Florida firm Gem International Commodities LLC from NFA Membership and sanctions its principal, Christine Stankoff
April 03, 2012
NFA Signs Agreement with Tradition to Provide Regulatory Services to its Swap Execution Facility
March 28, 2012
NFA fines California firm Option Investments, Inc.; sanctions its principals and several associated persons
March 21, 2012
NFA orders California firm Intercapital Markets Corp. and its principal to withdraw from NFA membership
March 20, 2012
NFA Signs Agreement with ICAP to Provide Regulatory Services to ICAP's Swap Execution Facility
March 12, 2012
Futures industry SRO committee announces initial recommendations to strengthen current safeguards for customer segregated funds
March 07, 2012
NFA permanently bars Texas Commodity Trading Advisor FIN FX LLC and its principal, Leon L. Wolmarans
March 02, 2012
NFA sanctions Florida firm FX Currency Traders and its principal, Jacob N. Martinez
February 27, 2012
NFA takes emergency enforcement action against Texas firm J Hansen Investments LLC and its principal, Jonathan Hansen
February 22, 2012
NFA's Board of Directors elects Christopher Hehmeyer to serve as Chairman
February 08, 2012
NFA levies $700,000 fine against futures and forex firm Peregrine Financial Group
February 03, 2012
NFA takes emergency enforcement action against California firm Arista LLC and its principal, Abdul Walji
January 31, 2012
NFA Signs Agreement with MarketAxess to provide Regulatory Services to MarketAxess' Swap Execution Facility
January 27, 2012
NFA takes emergency enforcement action against New York firm BKT Capital Management and its principal, Basil Fayadh
January 23, 2012
NFA takes emergency enforcement action against Georgia firm Crabapple Capital Group LLC and its principal, Robert Allen Christy
January 19, 2012
National Futures Association begins accepting registration applications from swap dealers and major swap participants
January 18, 2012
Futures industry self-regulatory organizations form joint committee to address customer segregation issues
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