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WILLIAM BRIAN WASSINK NFA ID: 0208679 Current Status KLEIN WASSINK PARTNERS INC  • ASSOCIATED PERSON REGISTERED  • PRINCIPAL APPROVED  Regulatory Actions  Agency Number NFA 1 CFTC 0 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 0 details...   CFTC Reparations Cases Total 0 details... Formerly Known As No other names   Security Futures Proficiency Training  Description Date SECURITY FUTURES TRAINING COMPLETED 11/04/2002 Doing Business As No other names History  Status Effective Date • PRINCIPAL TEMPORARY BAR LIFTED 08/05/2012  • NFA MEMBER TEMPORARY BAR LIFTED 08/05/2012  • NFA ASSOCIATE MEMBER TEMPORARY BAR LIFTED 08/05/2012  • PRINCIPAL TEMPORARY BAR 08/05/2009  • NFA MEMBER TEMPORARY BAR 08/05/2009  • NFA ASSOCIATE MEMBER TEMPORARY BAR 08/05/2009    CAERUS CAPITAL MANAGEMENT USA INC  • PRINCIPAL WITHDRAWN 06/04/2004  • ASSOCIATED PERSON WITHDRAWN 05/24/2004  • NFA ASSOCIATE MEMBER WITHDRAWN 05/24/2004  • NFA ASSOCIATE MEMBER APPROVED 03/20/2003  • ASSOCIATED PERSON REGISTERED 03/20/2003  • PRINCIPAL APPROVED 03/15/2003  • NFA ASSOCIATE MEMBER PENDING 03/15/2003  • ASSOCIATED PERSON PENDING 03/15/2003  CHICAGO COMMODITIES INC  • ASSOCIATED PERSON WITHDRAWN 09/21/1988  • NFA ASSOCIATE MEMBER WITHDRAWN 09/21/1988  • ASSOCIATED PERSON REGISTERED 06/30/1988  • NFA ASSOCIATE MEMBER APPROVED 06/30/1988  • ASSOCIATED PERSON PENDING 05/27/1988  • NFA ASSOCIATE MEMBER PENDING 05/27/1988  DIVERSIFIED RISK MANAGEMENT GROUP  • NFA ASSOCIATE MEMBER WITHDRAWN 05/24/2004  • ASSOCIATED PERSON WITHDRAWN 05/24/2004  • ASSOCIATED PERSON REGISTERED 06/09/2003  • NFA ASSOCIATE MEMBER APPROVED 06/09/2003  EURAMCO TRADING INC  • ASSOCIATED PERSON WITHDRAWN 12/31/2001  • NFA ASSOCIATE MEMBER WITHDRAWN 12/31/2001  • PRINCIPAL WITHDRAWN 12/31/2001  • ASSOCIATED PERSON REGISTERED 09/26/2001  • PRINCIPAL APPROVED 09/26/2001  • NFA ASSOCIATE MEMBER APPROVED 09/13/2001  • ASSOCIATED PERSON TEMPORARY LICENSE 09/13/2001  • ASSOCIATED PERSON PENDING 09/04/2001  • NFA ASSOCIATE MEMBER PENDING 09/04/2001  • PRINCIPAL PENDING 09/04/2001  EXCEL FUTURES INC  • ASSOCIATED PERSON WITHDRAWN 03/07/2003  • NFA ASSOCIATE MEMBER WITHDRAWN 03/07/2003  • ASSOCIATED PERSON REGISTERED 02/10/2003  • NFA ASSOCIATE MEMBER APPROVED 02/10/2003  FIRST AMERICAN FUNDS INC  • ASSOCIATED PERSON WITHDRAWN 09/30/1992  • PRINCIPAL WITHDRAWN 09/30/1992  • NFA ASSOCIATE MEMBER WITHDRAWN 11/29/1991  • ASSOCIATED PERSON REGISTERED 09/19/1989  • PRINCIPAL APPROVED 09/19/1989  • NFA ASSOCIATE MEMBER APPROVED 07/28/1989  • ASSOCIATED PERSON TEMPORARY LICENSE 07/28/1989  • ASSOCIATED PERSON PENDING 07/18/1989  • NFA ASSOCIATE MEMBER PENDING 07/18/1989  • PRINCIPAL PENDING 07/18/1989  FOREIGN TRADE BANK JAMAICA LIMITED  • PRINCIPAL WITHDRAWN 08/04/2007  • ASSOCIATED PERSON WITHDRAWN 08/04/2007  • NFA ASSOCIATE MEMBER WITHDRAWN 08/04/2007  • BRANCH MANAGER PENDING STATUS WITHDRAWN 05/21/2007  • BRANCH MANAGER PENDING 02/20/2007  • NFA ASSOCIATE MEMBER APPROVED 05/18/2006  • ASSOCIATED PERSON REGISTERED 05/18/2006  • PRINCIPAL APPROVED 04/06/2006  • NFA ASSOCIATE MEMBER PENDING 04/06/2006  • ASSOCIATED PERSON PENDING 04/06/2006  FOREIGN TRADE BANK SECURITIES INC  • PRINCIPAL WITHDRAWN 05/28/2009  • NFA ASSOCIATE MEMBER WITHDRAWN 05/28/2009  • ASSOCIATED PERSON WITHDRAWN 05/28/2009  • ASSOCIATED PERSON REGISTERED 03/01/2006  • NFA ASSOCIATE MEMBER APPROVED 03/01/2006  • NFA ASSOCIATE MEMBER PENDING 01/06/2006  • ASSOCIATED PERSON PENDING 01/06/2006  • PRINCIPAL APPROVED 01/06/2006  GLOBAL FUTURES EXCHANGE & TRADING CO INC  • ASSOCIATED PERSON WITHDRAWN 02/01/2002  • NFA ASSOCIATE MEMBER WITHDRAWN 02/01/2002  • ASSOCIATED PERSON REGISTERED 11/26/2001  • NFA ASSOCIATE MEMBER APPROVED 11/26/2001  INVESTCORE PARTNERS  • ASSOCIATED PERSON REGISTERED 07/08/2004  • NFA ASSOCIATE MEMBER APPROVED 07/08/2004  • ASSOCIATED PERSON WITHDRAWN 07/08/2004  • NFA ASSOCIATE MEMBER WITHDRAWN 07/08/2004  KLEIN WASSINK PARTNERS INC  • NFA ASSOCIATE MEMBER WITHDRAWN 04/04/2004  • NFA ASSOCIATE MEMBER APPROVED 01/31/2002  • ASSOCIATED PERSON REGISTERED 01/31/2002  • PRINCIPAL APPROVED 01/31/2002  • ASSOCIATED PERSON PENDING 01/31/2002  • NFA ASSOCIATE MEMBER PENDING 01/31/2002  • PRINCIPAL PENDING 01/08/2002  LAGUNA CAPITAL MANAGEMENT LLC  • ASSOCIATED PERSON WITHDRAWN 10/24/2003  • NFA ASSOCIATE MEMBER WITHDRAWN 10/24/2003  • ASSOCIATED PERSON REGISTERED 07/24/2003  • NFA ASSOCIATE MEMBER APPROVED 07/24/2003  OPPORTUNITIES IN OPTIONS  • NFA ASSOCIATE MEMBER WITHDRAWN 07/01/2004  • ASSOCIATED PERSON WITHDRAWN 07/01/2004  • NFA ASSOCIATE MEMBER APPROVED 05/24/2004  • ASSOCIATED PERSON REGISTERED 05/24/2004