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Details

JOSEPH A GERMAIN NFA ID: 0312771

Current Status
NO CURRENT STATUS
Regulatory Actions
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NFA Arbitration Decisions
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CFTC Reparations Cases
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History
 Status Effective Date
FIRST QUADRANT LP 
• ASSOCIATED PERSON WITHDRAWN 12/31/2013 
• BRANCH MANAGER WITHDRAWN 12/31/2013 
• NFA ASSOCIATE MEMBER WITHDRAWN 12/31/2013 
• PRINCIPAL WITHDRAWN 12/31/2013 
• BRANCH MANAGER APPROVED 03/18/2013 
• ASSOCIATED PERSON REGISTERED 02/08/2013 
• NFA ASSOCIATE MEMBER APPROVED 02/07/2013 
• ASSOCIATED PERSON TEMPORARY LICENSE 02/07/2013 
• PRINCIPAL APPROVED 11/28/2011 
• PRINCIPAL PENDING 08/16/2011 
FLA ASSET MANAGEMENT LLC 
• NFA ASSOCIATE MEMBER WITHDRAWN 09/11/2005 
• ASSOCIATED PERSON WITHDRAWN 09/11/2005 
• NFA ASSOCIATE MEMBER APPROVED 12/17/2003 
• ASSOCIATED PERSON REGISTERED 12/17/2003 
• NFA ASSOCIATE MEMBER PENDING 11/10/2003 
• ASSOCIATED PERSON PENDING 11/10/2003 
FORSTMANN LEFF ASSOCIATES LLC 
• ASSOCIATED PERSON WITHDRAWN 11/04/2005 
• NFA ASSOCIATE MEMBER WITHDRAWN 11/04/2005 
• ASSOCIATED PERSON REGISTERED 12/17/2003 
• NFA ASSOCIATE MEMBER APPROVED 12/17/2003 
• ASSOCIATED PERSON PENDING 11/10/2003 
• NFA ASSOCIATE MEMBER PENDING 11/10/2003 
GRANTHAM MAYO VAN OTTERLOO & CO LLC 
• NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN 05/13/2003 
• ASSOCIATED PERSON PENDING STATUS WITHDRAWN 05/13/2003 
• NFA ASSOCIATE MEMBER PENDING 02/12/2003 
• ASSOCIATED PERSON PENDING 02/12/2003 
• NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN 08/26/2002 
• ASSOCIATED PERSON PENDING STATUS WITHDRAWN 08/26/2002 
• NFA ASSOCIATE MEMBER PENDING 09/14/2001 
• ASSOCIATED PERSON PENDING 09/14/2001 
PECONIC ASSET MANAGERS LLC 
• ASSOCIATED PERSON WITHDRAWN 12/01/2004 
• NFA ASSOCIATE MEMBER WITHDRAWN 12/01/2004 
• ASSOCIATED PERSON REGISTERED 12/17/2003 
• NFA ASSOCIATE MEMBER APPROVED 12/17/2003 
• ASSOCIATED PERSON PENDING 11/10/2003 
• NFA ASSOCIATE MEMBER PENDING 11/10/2003 
PECONIC PARTNERS II LLC 
• ASSOCIATED PERSON WITHDRAWN 12/01/2004 
• NFA ASSOCIATE MEMBER WITHDRAWN 12/01/2004 
• ASSOCIATED PERSON REGISTERED 12/17/2003 
• NFA ASSOCIATE MEMBER APPROVED 12/17/2003 
• NFA ASSOCIATE MEMBER PENDING 11/10/2003 
• ASSOCIATED PERSON PENDING 11/10/2003 
PECONIC PARTNERS LLC 
• ASSOCIATED PERSON WITHDRAWN 12/01/2004 
• NFA ASSOCIATE MEMBER WITHDRAWN 12/01/2004 
• NFA ASSOCIATE MEMBER APPROVED 12/17/2003 
• ASSOCIATED PERSON REGISTERED 12/17/2003 
• NFA ASSOCIATE MEMBER PENDING 11/10/2003 
• ASSOCIATED PERSON PENDING 11/10/2003 
 
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