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Details

JOSEPH THOMAS JR PROFIT NFA ID: 0277718

Current Status
NO CURRENT STATUS
Regulatory Actions
 AgencyNumber
NFA2
CFTC1
Exchanges0
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NFA Arbitration Decisions
 RoleNumber
Claimant0
Respondent0
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CFTC Reparations Cases
Total2
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History
 Status Effective Date
AMERICAN DERIVATIVES 
• ASSOCIATED PERSON WITHDRAWN 03/15/2005 
• NFA ASSOCIATE MEMBER WITHDRAWN 03/15/2005 
• ASSOCIATED PERSON REGISTERED 04/02/2004 
• NFA ASSOCIATE MEMBER APPROVED 04/02/2004 
• NFA ASSOCIATE MEMBER PENDING 03/24/2004 
• ASSOCIATED PERSON PENDING 03/24/2004 
• NFA ASSOCIATE MEMBER WITHDRAWN 03/24/2004 
• ASSOCIATED PERSON TEMPORARY LICENSE WITHDRAWN 03/24/2004 
• NFA ASSOCIATE MEMBER APPROVED 03/03/2004 
• ASSOCIATED PERSON TEMPORARY LICENSE 03/03/2004 
AMERICAN FINANCIAL TRADING CORP 
• ASSOCIATED PERSON WITHDRAWN 05/04/1998 
• NFA ASSOCIATE MEMBER WITHDRAWN 05/04/1998 
• ASSOCIATED PERSON REGISTERED 02/06/1998 
• NFA ASSOCIATE MEMBER APPROVED 01/20/1998 
• ASSOCIATED PERSON TEMPORARY LICENSE 01/20/1998 
• ASSOCIATED PERSON PENDING 01/02/1998 
• NFA ASSOCIATE MEMBER PENDING 01/02/1998 
CONCORDE TRADING GROUP INC 
• ASSOCIATED PERSON WITHDRAWN 06/30/1998 
• NFA ASSOCIATE MEMBER WITHDRAWN 06/30/1998 
• ASSOCIATED PERSON REGISTERED 05/14/1998 
• NFA ASSOCIATE MEMBER APPROVED 05/05/1998 
• ASSOCIATED PERSON TEMPORARY LICENSE 05/05/1998 
CORNERSTONE BROKERAGE SERVICES INC 
• PRINCIPAL WITHDRAWN 02/17/2007 
• NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN 02/17/2007 
• ASSOCIATED PERSON PENDING STATUS WITHDRAWN 02/17/2007 
• NFA ASSOCIATE MEMBER PENDING 01/11/2007 
• PRINCIPAL APPROVED 12/19/2006 
• ASSOCIATED PERSON PENDING 12/19/2006 
CORNERSTONE CAPITAL MANAGEMENT LLC 
• PRINCIPAL WITHDRAWN 11/04/2007 
• NFA ASSOCIATE MEMBER WITHDRAWN 11/04/2007 
• ASSOCIATED PERSON WITHDRAWN 11/04/2007 
• NFA ASSOCIATE MEMBER SUSPENDED 01/23/2007 
• NFA ASSOCIATE MEMBER APPROVED 08/18/2005 
• ASSOCIATED PERSON REGISTERED 08/18/2005 
• PRINCIPAL APPROVED 08/18/2005 
• NFA ASSOCIATE MEMBER PENDING 08/10/2005 
• ASSOCIATED PERSON PENDING 08/10/2005 
• PRINCIPAL PENDING 07/28/2005 
• PRINCIPAL PENDING STATUS WITHDRAWN 06/21/2005 
• NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN 06/21/2005 
• ASSOCIATED PERSON PENDING STATUS WITHDRAWN 06/21/2005 
• NFA ASSOCIATE MEMBER PENDING 03/23/2005 
• ASSOCIATED PERSON PENDING 03/23/2005 
• PRINCIPAL PENDING 03/23/2005 
MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED 
• ASSOCIATED PERSON WITHDRAWN 12/25/1998 
• NFA ASSOCIATE MEMBER WITHDRAWN 12/25/1998 
• ASSOCIATED PERSON REGISTERED 09/09/1998 
• NFA ASSOCIATE MEMBER APPROVED 08/05/1998 
• ASSOCIATED PERSON TEMPORARY LICENSE 08/05/1998 
MORGAN STANLEY DW INC 
• ASSOCIATED PERSON WITHDRAWN 02/28/2001 
• NFA ASSOCIATE MEMBER WITHDRAWN 02/28/2001 
• ASSOCIATED PERSON REGISTERED 11/03/2000 
• NFA ASSOCIATE MEMBER APPROVED 10/20/2000 
• ASSOCIATED PERSON TEMPORARY LICENSE 10/20/2000 
• ASSOCIATED PERSON PENDING 10/13/2000 
• NFA ASSOCIATE MEMBER PENDING 10/13/2000 
WESTIN TRADING CORPORATION 
• ASSOCIATED PERSON WITHDRAWN 10/31/1997 
• NFA ASSOCIATE MEMBER WITHDRAWN 10/31/1997 
• ASSOCIATED PERSON REGISTERED 04/11/1997 
• NFA ASSOCIATE MEMBER APPROVED 03/14/1997 
• ASSOCIATED PERSON TEMPORARY LICENSE 03/14/1997 
• ASSOCIATED PERSON PENDING 03/11/1997 
• NFA ASSOCIATE MEMBER PENDING 03/11/1997 
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.