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Enforcement and Registration Actions

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64 Search results for YEAR=2009, 2008, RULE=C.R.2-2(a), C.R.2-29(a)(1), Hide MRAs

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DECISION IN DISCIPLINARY CASES

September 16, 2009
Richard I. Mata
NFA Case Number: 09BCC00015

September 16, 2009
True Vector Trading Group LLC and James Douglas
NFA Case Number: 09BCC00010

September 9, 2009
Tiger Financial Group (Michael A. Patton)
NFA Case Number: 08BCC00017

September 2, 2009
Global Trading Center LLC (Harris Shapiro)
NFA Case Number: 08BCC00026

July 28, 2009
Tiger Financial Group, Brian O. Ozkan, Eric M. Golub, Ameet Andhari, Ramon Chalis, Dustin S. Smith, James A. Spear, Darcus O. Young, and Christopher Brueck
NFA Case Number: 08BCC00017

July 13, 2009
Global Trading Center LLC (Kaye Simone White-Webster)
NFA Case Number: 08BCC00026

June 1, 2009
Coastline Trading Group LLC, Michael W. Greenberg and Michael P. Melikian
NFA Case Number: 08BCC00033

May 14, 2009
Lake Shore Asset Management Limited
NFA Case Number: 09BCC00004

May 1, 2009
Global Trading Center LLC (Ricardo Garcia, Jr.)
NFA Case Number: 08BCC00026

March 27, 2009
Last Atlantis Capital Management LLC and Irwin M. Berger
NFA Case Number: 08BCC00028

March 23, 2009
Universal Commodity Corp. et al.
NFA Case Number: 07BCC00047

March 19, 2009
American Atlantic Financial Corp., John Menoutis and Thaddeus Nathaniel
NFA Case Number: 07BCC00012

February 18, 2009
Trendex Commodity Corp. and Thomas Paul Wayne
NFA Case Number: 08BCC00025

February 11, 2009
Magma Fund Advisors Ltd. and Desmond M. Muthemba
NFA Case Number: 08BCC00032

February 5, 2009
First Choice Futures and Options, Inc.
NFA Case Number: 08BCC00013

February 5, 2009
First Choice Futures and Options, Inc. (Michael M. Ghaemi)
NFA Case Number: 08BCC00013

February 5, 2009
First Choice Futures and Options, Inc. (Sheldon C. France)
NFA Case Number: 08BCC00013

February 5, 2009
First Choice Futures and Options, Inc. (Mark D. Ashton)
NFA Case Number: 08BCC00013

December 16, 2008
Meridian Commodity Corporation, Robert E. Parker, George D. Lewis
NFA Case Number: 08BCC00009

November 12, 2008
Universal Commodity Corp., et al., Comtrust Inc. and Stuart A. Mehler
NFA Case Number: 07BCC00047

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NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the futures markets.

ALL RULES
ARB10(g)
BLAW1101
BLAW1301(b)
BLAW1301(b)(i)
BLAW1302
BLAW1303
BLAW301(a)(ii)
BLAW301(b)
BLAW301(c)
BLAW301(e)
BLAW301(h)(ii)
BLAW301(i)
BLAW305 Sch A @I(a)
BLAW305 Sch A @I(b)
BLAW305 Sch A @I(c)
C.R.2-10
C.R.2-11
C.R.2-12
C.R.2-13
C.R.2-15
C.R.2-15(a)
C.R.2-15(b)
C.R.2-15(c)
C.R.2-16
C.R.2-17
C.R.2-18(a)
C.R.2-18(b)
C.R.2-18(c)
C.R.2-19(a)
C.R.2-19(b)
C.R.2-19(c)
C.R.2-2
C.R.2-2(a)
C.R.2-2(b)
C.R.2-2(c)
C.R.2-2(d)
C.R.2-2(e)
C.R.2-2(f)
C.R.2-2(g)
C.R.2-2(h)
C.R.2-20(a)
C.R.2-20(b)
C.R.2-20(c)
C.R.2-20(d)
C.R.2-21
C.R.2-21(a)
C.R.2-21(b)
C.R.2-21(c)
C.R.2-21(d)
C.R.2-22
C.R.2-23
C.R.2-24(a)
C.R.2-24(b)
C.R.2-25
C.R.2-26
C.R.2-27
C.R.2-28
C.R.2-29
C.R.2-29(a)(1)
C.R.2-29(a)(2)
C.R.2-29(a)(3)
C.R.2-29(b)(1)
C.R.2-29(b)(2)
C.R.2-29(b)(3)
C.R.2-29(b)(4)
C.R.2-29(b)(5)
C.R.2-29(b)(6)
C.R.2-29(c)
C.R.2-29(c)(1)
C.R.2-29(c)(3)
C.R.2-29(c)(5)
C.R.2-29(d)
C.R.2-29(e)
C.R.2-29(f)
C.R.2-29(g)
C.R.2-29(j)
C.R.2-3
C.R.2-30
C.R.2-30(a)
C.R.2-30(b)
C.R.2-30(c)
C.R.2-30(d)
C.R.2-30(e)
C.R.2-30(g)
C.R.2-30(h)
C.R.2-31
C.R.2-34(b)
C.R.2-36
C.R.2-36(a)
C.R.2-36(b)(1)
C.R.2-36(b)(4)
C.R.2-36(b)(5)
C.R.2-36(c)
C.R.2-36(d)
C.R.2-36(e)
C.R.2-36(i)
C.R.2-37(b)
C.R.2-38
C.R.2-39
C.R.2-4
C.R.2-40
C.R.2-41(b)
C.R.2-5
C.R.2-6
C.R.2-8
C.R.2-8(a)
C.R.2-8(b)
C.R.2-8(b)(2)
C.R.2-8(c)
C.R.2-8(d)
C.R.2-8(e)
C.R.2-9
C.R.2-9(a)
C.R.2-9(c)
CEA 8a(2)(A)
CEA 8a(2)(B)
CEA 8a(2)(C)
CEA 8a(2)(D)
CEA 8a(2)(D)(i)
CEA 8a(2)(D)(ii)
CEA 8a(2)(D)(iii)
CEA 8a(2)(D)(iv)
CEA 8a(2)(E)
CEA 8a(2)(F)
CEA 8a(2)(G)
CEA 8a(2)(H)
CEA 8a(3)
CEA 8a(3)(A)
CEA 8a(3)(B)
CEA 8a(3)(C)
CEA 8a(3)(D)
CEA 8a(3)(E)
CEA 8a(3)(E)(i)
CEA 8a(3)(E)(ii)
CEA 8a(3)(E)(iii)
CEA 8a(3)(E)(iv)
CEA 8a(3)(F)
CEA 8a(3)(G)
CEA 8a(3)(H)
CEA 8a(3)(J)
CEA 8a(3)(K)
CEA 8a(3)(L)
CEA 8a(3)(M)
CEA 8a(3)(N)
F.R.@ C1-(b)(vii)
F.R.SEC11(a)NEW
F.R.SEC11(b)NEW
F.R.SEC11(c)NEW
F.R.SEC11NEW
F.R.SEC12NEW
F.R.SEC13NEW
F.R.SEC1NEW
F.R.SEC2NEW
F.R.SEC3NEW
F.R.SEC4NEW
F.R.SEC5NEW
F.R.SEC6NEW
F.R.SEC7NEW
F.R.SEC8NEW
F.R.SEC9NEW
F.R.Section 1
F.R.Section 10
F.R.Section 11
F.R.Section 3(a)
F.R.Section 4
F.R.Section 5
F.R.Section 6
F.R.Section 8
F.R.Section 9
F.R.Section A8-a
F.R.Section B2-a
F.R.Section C2-g
F.R.Section D1
F.R.Section D1-a
F.R.Section D2
F.R.Section D2-a
F.R.Section D3-a
F.R.Section D3-b
F.R.Section D3-d
F.R.Section D4-a(v)
F.R.Section D4-b
R.R.204(a)(2)
R.R.205
R.R.206
R.R.208
R.R.210(a)
R.R.210(b)
R.R.210(c)
R.R.210(c)(1)
R.R.210(c)(2)
R.R.214