Skip Navigation Links

Details

JOHN J MCDERMOTT NFA ID: 0439001

Current Status
NO CURRENT STATUS
Regulatory Actions
 AgencyNumber
NFA0
CFTC0
Exchanges0
details...
 
NFA Arbitration Decisions
 RoleNumber
Claimant0
Respondent0
details...
 
CFTC Reparations Cases
Total0
details...
 
History
 Status Effective Date
LPL FINANCIAL LLC 
• PRINCIPAL WITHDRAWN 09/15/2013 
• PRINCIPAL APPROVED 04/27/2012 
• PRINCIPAL PENDING 02/23/2012 
UBS FINANCIAL SERVICES INC 
• PRINCIPAL WITHDRAWN 04/01/2016 
• PRINCIPAL APPROVED 04/11/2014 
• PRINCIPAL PENDING 04/10/2014 
UBS SECURITIES LLC 
• PRINCIPAL WITHDRAWN 02/05/2016 
• PRINCIPAL APPROVED 10/19/2015 
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.