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Details

STEPHEN THOMAS ROY NFA ID: 0191767

Current Status
NO CURRENT STATUS
Regulatory Actions
 AgencyNumber
NFA1
CFTC0
Exchanges0
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NFA Arbitration Decisions
 RoleNumber
Claimant0
Respondent1
details...
 
CFTC Reparations Cases
Total2
details...
 
Security Futures Proficiency Training
 Description Date
SECURITY FUTURES TRAINING COMPLETED10/08/2002
SECURITY FUTURES PRINCIPAL TRAINING COMPLETED10/08/2002
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• PRINCIPAL WITHDRAWN 10/23/2007 
• ASSOCIATED PERSON WITHDRAWN 08/30/2007 
• NFA ASSOCIATE MEMBER WITHDRAWN 08/30/2007 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• NFA ASSOCIATE MEMBER WITHDRAWN 01/29/1988 
• PRINCIPAL WITHDRAWN 11/30/1987 
• ASSOCIATED PERSON WITHDRAWN 11/30/1987 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• ASSOCIATED PERSON WITHDRAWN 07/13/2012 
• FOREX ASSOCIATED PERSON WITHDRAWN 07/13/2012 
• NFA ASSOCIATE MEMBER WITHDRAWN 07/13/2012 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• ASSOCIATED PERSON WITHDRAWN 02/06/1989 
• NFA ASSOCIATE MEMBER WITHDRAWN 02/06/1989 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• ASSOCIATED PERSON WITHDRAWN 11/30/1986 
• BRANCH MANAGER WITHDRAWN 11/30/1986 
• NFA ASSOCIATE MEMBER WITHDRAWN 11/30/1986 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 
 
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