Home > About NFA > Committees > Compliance and Risk Committee

Compliance and Risk Committee

Mark G. Bagan
President and Chief Executive Officer
Minneapolis Grain Exchange
Minneapolis, Minn.

Maureen Downs
Rosenthal Collins Group LLC
Chicago, Ill.

Steven Felsenthal
Chief Compliance Officer
The Millburn Corporation
New York, N.Y.

Paul J. Georgy
Allendale Inc.
McHenry, Ill.

Carl W. Gilmore
Managing Director
Knight Capital Americas LLC
Chicago, Ill.

Douglas E. Harris
Managing Director
Promontory Financial Group LLC
New York, N.Y.

Oliver Jakob
International Chief Risk Officer
Mitsubishi UFJ Securities Holdings Co., Ltd.
New York, N.Y.

James R. Klingler
Senior Vice President, Alternative Investments
Wells Fargo Advisors LLC
St. Louis, Mo.

Charles P. Nastro
New York, N.Y.

Maureen O'Rourke
Compliance Officer
Dearborn Capital Management LLC
Chicago, Ill.

Gary M. Rosen
Managing Director
Head of Citi Markets Compliance
Citigroup Global Markets Inc.
New York, N.Y.

File a Complaint

You can file a complaint online. Be sure to include as much information as you can.

File a Complaint

Check Broker / Firm Information (BASIC)

You can check the registration status and disciplinary history of any futures firm or individual.

Begin Search

Get Updates Via Email

Subscribe to receive NFA communications such as Notices to Members, press releases and Web updates via email.

NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.
Site Index | Contact NFA | News Center | FAQs | Career Opportunities | Industry Links | Home
© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy