NFA's Logo
Home > Investor Information > Investor Newsletter > Investor Newsletter

NFA Investor Newsletter

NFA Investor Newsletter

Past Investor Newsletters

January 18 , 2012
In this Issue: Saving and Investing Tips for 2012 Money Smart Week

Recent Enforcement Actions

In the fourth quarter of 2011, NFA's Business Conduct Committee issued Decisions, Member Responsibility Actions, Final Orders in Registration Cases and Complaints against the following NFA Member firms and individuals. Click on the name for more detailed information.

Decisions in Disciplinary Cases
Angus Jackson, Inc. of Florida
Martin H. Bedick
Martin L. Connolly
Cyclone Trading Systems LLC
Randolph J. Ginsberg
Jonathan Lee
Mohr and Moore LLC
William E. Moore
Randolph J. Ginsberg Introducing Brokerage, Inc.
Michael E. Rose
Joseph C. Schillmoeller
Paul Joseph Spano
Westport Capital Management LLC
ZuluTrade Inc

Member Responsibility Actions
Denver Difference Energy LLC
Mukeeze Muwanga
TS Capital Management LLC

Final Orders in Registration Cases
Cosmo A. Guzaldo
Ty Hafley
Hisham Amer Masri
William S. Scott
Frank C. Trombatore
Edward Teh Yin

Michelle Bodenshok
Rick E. Brooks
Calatrava Securities LLC
Currensee Inc.
Dalton General Partner Limited
Derosa Research and Trading Inc.
Sandra Farr
Farview Investments LLC
Greg Firman d/b/a E-Trade FX
FX Currency Traders, Inc.
Golden Forex, Inc.
Harvest Investment Group, Inc.
Howard Malman
Intercapital Markets Corp.
Jones Commodities Inc.
Kairos Asset Management LLC
Haochun Ku
Jacob N. Martinez
Olympus Futures Inc.
Joshua Russo
James M. Sauls
Tracy Morgan Spaeth
Range Wise Inc.
Rhino Fund Management LC
Larry G. Young
Meixuan Zhang
Zulutrade Inc.

Links to NFA

Investor Information

Background Affiliation Status Information Center (BASIC)

File a Complaint

NFA's Website

Sign Up to receive the Investor Newsletter by Email.

Past Investor Newsletters 

Let Us Know What You Think About This Newsletter

Send us an Email

Subscribe to our Feeds Subscribe to our Feeds
Follow us on Twitter Follow NFA_News on Twitter

Check Broker / Firm Information (BASIC)

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

Begin Search

File a Complaint

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

File a Complaint

Subscribe to Receive Free Investor Newsletter

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