News Releases

NFA issues news releases to announce any significant disciplinary action or other NFA news.

2021 | 2020 | 2019 | 2018 | 2017 | Show more years

September 16, 2021
NFA orders London, U.K. swap dealer ED&F Man Capital Markets Limited to pay a $150,000 fine

August 05, 2021
NFA orders New York, N.Y. introducing broker Tullett Prebon Financial Services LLC to pay a $150,000 fine

June 29, 2021
NFA orders Chicago, Ill. swap dealer The Northern Trust Company to pay a $999,000 fine

May 20, 2021
NFA orders Plymouth, Minn. introducing broker Roy E. Abbott Futures, Inc. to pay a $75,000 fine and approximately $198,000 in restitution to customers

May 20, 2021
NFA orders former associated person Peter Chris Georgantones never to reapply for NFA membership

April 28, 2021
NFA orders former associated person Jeremy Ruth never to reapply for NFA membership

April 19, 2021
NFA orders former Stuart, Fla. commodity trading advisor JDN Capital LLC never to reapply for NFA membership and orders its former sole principal Joshua David Nicholas not to reapply for NFA membership for eight years

April 01, 2021
NFA orders Toronto, Canada retail foreign exchange dealer and futures commission merchant OANDA Corporation to pay a $200,000 fine

March 18, 2021
NFA orders former principal and associated person Daniel Morris Miller not to reapply for membership for three years

March 18, 2021
NFA orders former principal and associated person Joel Vincent Newcomb never to reapply for membership

March 18, 2021
NFA orders former Akron, Ohio commodity pool operator Argo Wealth Management, Inc. never to reapply for membership

January 13, 2021
NFA permanently bars Orland Park, Ill. introducing broker LTG Trading LLC and bars its former principal Gary Fullett from membership for five years

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