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NFA Investor Newsletter

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
NCMFX Inc.
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

Complaints
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
NCMFX Inc.
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.


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