Details

MF GLOBAL INC NFA ID: 0326888 Current Status • ALSO SEE NFA ID 0000712  • ALSO SEE NFA ID 0266826    • COMMODITY POOL OPERATOR PENDING WITHDRAWAL  • FUTURES COMMISSION MERCHANT PENDING WITHDRAWAL  • NFA MEMBER PENDING WITHDRAWAL   FIRM ON WITHDRAWAL HOLD    • EXEMPT FOREIGN FIRM AGENT APPROVED  • FUTURES COMMISSION MERCHANT REGISTERED  • COMMODITY POOL OPERATOR REGISTERED  • NFA MEMBER APPROVED  FCM Financial Information Click the link below to view financial information for this firm View Financial Information Firm Activity Status Firm has on-exchange futures and/or options customer accounts Yes Firm is soliciting customers Yes Firm manages futures or options customer accounts No Firm operates commodity pools No Firm is engaged in retail off-exchange foreign currency futures and/or options No Regulatory Actions  Agency Number NFA 0 CFTC 1 Exchanges 12 details...   NFA Arbitration Decisions  Role Number Claimant 1 Respondent 6 details...   CFTC Reparations Cases Total 11 details... Formerly Known As • MAN SECURITIES INC • MF GLOBAL SECURITIES INC   Business Address 717 5TH AVE 9TH FLOOR NEW YORK, NY  10022 UNITED STATES (212) 589-6200 Doing Business As • 5 PERSIDE COM • ADVANTAGE GRAIN GROUP • ADVANTAGE TRADERS • ALTERNATIVE INVESTMENT STRATEGIES • ASIAN TRADING CENTER • DK GLOBAL GROUP • DOWD WESCOTT GROUP • ECLIPSE FUTURES • GAP DIVISION • HAMMER TRADING DIVISION • LIND PLUS • LIND SYSTEMS • LIND WALDOCK • MAN FINANCIAL BROKERAGE • MAN SECURITIES • MANSECURITIES.COM • MANSECURITIESINC.COM • MARKET VOICE • MF GLOBAL ENERGY • MF GLOBAL FUTURES TRADING • MF GLOBAL PRO FUTURES • MF GLOBAL RESEARCH • MFGLOBALPTG.COM • PROFESSIONAL TRADE GROUP • SGY TRADING • USA TRADING Listed Principals  Listed Principal Name Title 10% or More Financial Interest MF GLOBAL HOLDINGS USA INC YES History  Status Effective Date • ALSO SEE NFA ID 0000712  • ALSO SEE NFA ID 0266826    • EXEMPT FOREIGN FIRM AGENT APPROVED 09/01/2008  • FUTURES COMMISSION MERCHANT REGISTERED 12/31/2007  • INTRODUCING BROKER WITHDRAWN 12/31/2007  • COMMODITY POOL OPERATOR REGISTERED 12/03/2007  • FUTURES COMMISSION MERCHANT PENDING 12/03/2007  • COMMODITY POOL OPERATOR PENDING 12/03/2007  • INTRODUCING BROKER REGISTERED 04/15/2004  • NOTICE FUTURES COMMISSION MERCHANT WITHDRAWN 03/24/2004  • NFA MEMBER APPROVED 03/24/2004  • INTRODUCING BROKER TEMPORARY LICENSE 03/24/2004  • NFA MEMBER PENDING 03/16/2004  • INTRODUCING BROKER PENDING 03/16/2004  • NOTICE FUTURES COMMISSION MERCHANT REGISTERED 01/01/2003