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STEPHEN THOMAS ROY NFA ID: 0191767 Current Status NO CURRENT STATUS Regulatory Actions  Agency Number NFA 1 CFTC 0 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 1 details...   CFTC Reparations Cases Total 2 details... Formerly Known As No other names   Security Futures Proficiency Training  Description Date SECURITY FUTURES TRAINING COMPLETED 10/08/2002 SECURITY FUTURES PRINCIPAL TRAINING COMPLETED 10/08/2002 Doing Business As No other names History  Status Effective Date AMERICAN NATIONAL TRADING CORP  • PRINCIPAL WITHDRAWN 10/23/2007  • ASSOCIATED PERSON WITHDRAWN 08/30/2007  • NFA ASSOCIATE MEMBER WITHDRAWN 08/30/2007  • PRINCIPAL APPROVED 09/19/1989  • ASSOCIATED PERSON REGISTERED 04/20/1989  • NFA ASSOCIATE MEMBER APPROVED 02/06/1989  • ASSOCIATED PERSON TEMPORARY LICENSE 02/06/1989  INVESCO COMMODITIES CORP  • NFA ASSOCIATE MEMBER WITHDRAWN 01/29/1988  • PRINCIPAL WITHDRAWN 11/30/1987  • ASSOCIATED PERSON WITHDRAWN 11/30/1987  • ASSOCIATED PERSON REGISTERED 11/28/1986  • PRINCIPAL APPROVED 11/28/1986  • ASSOCIATED PERSON PENDING 10/13/1986  • PRINCIPAL PENDING 10/13/1986  • NFA ASSOCIATE MEMBER APPROVED 08/11/1986  PEREGRINE FINANCIAL GROUP INC  • ASSOCIATED PERSON WITHDRAWN 07/13/2012  • FOREX ASSOCIATED PERSON WITHDRAWN 07/13/2012  • NFA ASSOCIATE MEMBER WITHDRAWN 07/13/2012  • FOREX ASSOCIATED PERSON APPROVED 09/21/2010  • FOREX ASSOCIATED PERSON PENDING 09/20/2010  • ASSOCIATED PERSON REGISTERED 08/30/2007  • NFA ASSOCIATE MEMBER APPROVED 08/30/2007  SIEGEL TRADING CO INC THE  • ASSOCIATED PERSON WITHDRAWN 02/06/1989  • NFA ASSOCIATE MEMBER WITHDRAWN 02/06/1989  • ASSOCIATED PERSON REGISTERED 05/14/1987  • NFA ASSOCIATE MEMBER APPROVED 05/14/1987  VISTA FUTURES INC  • ASSOCIATED PERSON WITHDRAWN 11/30/1986  • BRANCH MANAGER WITHDRAWN 11/30/1986  • NFA ASSOCIATE MEMBER WITHDRAWN 11/30/1986  • ASSOCIATED PERSON REGISTERED 09/11/1986  • BRANCH MANAGER APPROVED 09/11/1986  • BRANCH MANAGER PENDING 08/21/1986  • NFA ASSOCIATE MEMBER APPROVED 08/11/1986  • ASSOCIATED PERSON TEMPORARY LICENSE 08/11/1986  • ASSOCIATED PERSON PENDING 08/05/1986  • NFA ASSOCIATE MEMBER PENDING 08/05/1986