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What's New

Featured Information

5/19/2015 Audio recordings from the swaps Member Regulatory Conference available

4/17/2015 Investor Newsletter - April 2015

Recent Changes

5/13/2015 Added News Release: NFA permanently bars Chicago commodity trading advisor, Andrew James Aronson

5/13/2015 Added Notice to Members: Regulatory reminder: Accurate and current business contact information and email address

5/7/2015 Added Enforcement and Registration Action: Andrew James Aronson

4/27/2015 Added Enforcement and Registration Action: Harmik Iranossian

4/27/2015 Added Enforcement and Registration Action: Spartan Commodity Fund Management LLC and Alan J. Harry

4/16/2015 Added News Release: National Futures Association, AARP and Chicago Department of Family & Support Services co-sponsor "Avoiding Fraud is Your Best Money Strategy" during Money Smart Week

4/14/2015 Added Enforcement and Registration Action: RNS Holdings LP and Raja M. Mawad

4/14/2015 Added News Release: NFA orders Memphis, Tenn. firm McVean Trading & Investments LLC and two of its principals, Charles Dow McVean Sr. and Llewellyn Hall, to pay $625,000 fine

4/14/2015 Added News Release: NFA orders Memphis, Tenn. firm Dow McVean Capital Management LLC and its principal, Charles Dow McVean, Jr., to pay $105,000 fine

4/14/2015 Added News Release: NFA orders Memphis, Tenn. firm K&M Trading, LLC and its principals, William Kaelin and John Morrissey, to pay $105,000 fine

4/14/2015 Added News Release: NFA orders Memphis, Tenn. firm Wharton Asset Management LLC and its principal, Michael J. Wharton, to pay $105,000 fine

4/14/2015 Added News Release: NFA orders Memphis, Tenn. firm BLS AG Futures LLC and its principal, Brian L. Swords, to pay $105,000 fine

4/14/2015 Added News Release: NFA orders Memphis, Tenn. firm CDM Investment Management LLC and its principal, Charles Dow McVean Sr., to pay $105,000 fine

4/14/2015 Added News Release: NFA takes emergency enforcement action against Houston, Texas firm RNS Holdings LP and its principal, Raja Michael Mawad

4/13/2015 Added Enforcement and Registration Action: MB Duffy Capital Management LLC and Michael B. Duffy

4/13/2015 Added Enforcement and Registration Action: MB Duffy Capital Management LLC and Michael B. Duffy

4/13/2015 Added Enforcement and Registration Action: K&M Trading, LLC, William Kaelin and John S. Morrissey

4/13/2015 Added Enforcement and Registration Action: K&M Trading, LLC, William Kaelin and John S. Morrissey

4/13/2015 Added Enforcement and Registration Action: Wharton Asset Management LLC and Michael J. Wharton

4/13/2015 Added Enforcement and Registration Action: McVean Trading & Investments LLC, Charles Dow McVean, Sr. and Llewellyn Hall

4/13/2015 Added Enforcement and Registration Action: The Four L's Agricultural Trading Company LLC and David G. Lannin

4/13/2015 Added Enforcement and Registration Action: The Four L's Agricultural Trading Company LLC and David G. Lannin

4/13/2015 Added Enforcement and Registration Action: CDM Investment LLC and Charles Dow McVean, Sr.

4/13/2015 Added Enforcement and Registration Action: CDM Investment LLC and Charles Dow McVean, Sr.

4/13/2015 Added Enforcement and Registration Action: Dow McVean Capital Management LLC and Charles Dow McVean, Jr.

4/13/2015 Added Enforcement and Registration Action: Dow McVean Capital Management LLC and Charles Dow McVean, Jr.

4/13/2015 Added Enforcement and Registration Action: McVean Trading & Investments LLC, Charles Dow McVean, Sr. and Llewellyn Hall

4/13/2015 Added Enforcement and Registration Action: BLS AG Futures LLC and Brian L. Swords

4/13/2015 Added Enforcement and Registration Action: BLS AG Futures LLC and Brian L. Swords

4/13/2015 Added Enforcement and Registration Action: Wharton Asset Management LLC and Michael J. Wharton

4/9/2015 Added Enforcement and Registration Action: Michael A. Plaia, d/b/a Comtrade Financial Company, Michael Angelo Plaia and Nikolas Robert Weber

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