Details

LESLIE ROSENTHAL NFA ID: 0048894

 Current Status 
NO CURRENT STATUS
 Regulatory Actions 
 AgencyNumber
NFA0
CFTC1
Exchanges0
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 NFA Arbitration Decisions 
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Claimant0
Respondent1
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 CFTC Reparations Cases 
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 History 
 Status Effective Date
• FLOOR BROKER WITHDRAWN09/16/2017 
• FLOOR BROKER REGISTERED01/01/1982 
FIRST AMERICAN DISCOUNT CORPORATION 
• PRINCIPAL WITHDRAWN 03/31/1989 
• PRINCIPAL APPROVED 05/24/1984 
FIRST UNITED NATIONWIDE LLC 
• PRINCIPAL WITHDRAWN 02/01/2000 
• PRINCIPAL APPROVED 01/16/1996 
• PRINCIPAL PENDING 12/12/1995 
GANN W D FINANCIAL SERVICES INC 
• PRINCIPAL WITHDRAWN 06/05/1989 
• PRINCIPAL APPROVED 10/27/1988 
• PRINCIPAL PENDING 10/17/1988 
ING US SEC FUTURES & OPTIONS INC 
• PRINCIPAL WITHDRAWN 05/02/1994 
• PRINCIPAL APPROVED 10/23/1990 
INTL NEDERLANDEN US SEC DERIV CLRNG INC 
• PRINCIPAL ENDED WITH INTL NEDERLANDEN US DERIVATIVES CLRNG IN02/11/1994 
• PRINCIPAL WITHDRAWN 01/14/1994 
• PRINCIPAL COMPLETE WITH INTL NEDERLANDEN US DERIVATIVES CLRNG IN01/04/1993 
• PRINCIPAL APPROVED 01/04/1993 
• PRINCIPAL ADDED WITH INTL NEDERLANDEN US DERIVATIVES CLRNG IN11/24/1992 
• PRINCIPAL PENDING 11/05/1992 
QUINCY FUTURES MANAGEMENT INC 
• PRINCIPAL WITHDRAWN 01/23/1995 
• PRINCIPAL APPROVED 08/10/1990 
• PRINCIPAL PENDING 07/16/1990 
QUINCY OPTIONS MANAGEMENT INC 
• PRINCIPAL WITHDRAWN 04/01/1991 
• PRINCIPAL APPROVED 08/10/1990 
• PRINCIPAL PENDING 06/19/1990 
RCI ADVISORY SERVICES LLC 
• PRINCIPAL WITHDRAWN 07/04/2010 
• PRINCIPAL APPROVED 03/03/2008 
• PRINCIPAL PENDING 12/04/2007 
ROSENTHAL CAPITAL LTD 
• PRINCIPAL WITHDRAWN 12/31/1993 
• PRINCIPAL APPROVED 10/30/1989 
• PRINCIPAL PENDING 10/20/1989 
ROSENTHAL COLLINS GROUP LLC 
• PRINCIPAL WITHDRAWN 09/18/2017 
• PRINCIPAL APPROVED 01/30/1980 
ROSENTHAL COLLINS SECURITIES LLC 
• PRINCIPAL ENDED WITH ROSENTHAL COLLINS HOLDINGS LLC11/29/2001 
• PRINCIPAL COMPLETE WITH ROSENTHAL COLLINS HOLDINGS LLC10/21/1996 
• PRINCIPAL ADDED WITH ROSENTHAL COLLINS HOLDINGS LLC10/09/1996 
ROSENTHAL GLOBAL SECURITIES LLC 
• PRINCIPAL WITHDRAWN 04/08/2012 
• PRINCIPAL APPROVED 11/23/1988 
• PRINCIPAL PENDING 09/26/1988 
UNITED FINANCIAL SERVICES INC 
• PRINCIPAL WITHDRAWN 11/29/1988 
• PRINCIPAL APPROVED 10/17/1985 
VIRGINIA FUTURES MANAGEMENT CORP 
• PRINCIPAL WITHDRAWN 07/01/1994 
• PRINCIPAL APPROVED 09/28/1992 
ZABINSKY ASSET MANAGEMENT INC 
• PRINCIPAL WITHDRAWN 09/30/1992 
• PRINCIPAL APPROVED 07/13/1990 
• PRINCIPAL PENDING 05/21/1990