News Releases

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

2018 | 2017 | 2016 | 2015 | 2014 | Show more years

October 30, 2018
NFA orders New York, NY swap dealer Mizuho Capital Markets LLC to pay a $900,000 fine

September 17, 2018
NFA bars John Marc Schwaebe, a former associated person, from membership for seven years

September 17, 2018
NFA orders Chicago, Ill. introducing broker Global Asset Advisors LLC and its principal Glenn Swanson to jointly pay a $200,000 fine

July 30, 2018
NFA orders Chicago, Ill. futures commission merchant R.J. O'Brien & Associates LLC to pay a $150,000 fine

June 22, 2018
NFA takes emergency enforcement action against Chicago, Ill. commodity pool operator and commodity trading advisor Golden Point Capital Management LLC and its sole principal Glenn Graham

June 05, 2018
NFA to develop swaps proficiency requirements program

May 29, 2018
NFA orders Chicago, Ill. introducing broker X-Change Financial Access LLC to pay a $100,000 fine

May 03, 2018
NFA bars Rapid City, S.D. commodity trading advisor The Stock Mentor LLC and its principal Brian Kelly Johnson from membership

March 01, 2018
NFA permanently bars Chicago, Ill. introducing broker Fortune Trading Group, Inc. from membership, bars its principal and associated person Jonathan Schuler from membership for five years, and orders Chicago, Ill. futures commission merchant Ironbeam, Inc. to pay a $100,000 fine

February 01, 2018
NFA bars North Salem, N.Y. introducing broker and commodity pool operator Managed Capital Advisory Group from membership

January 12, 2018
NFA bars Glendale, Ariz. commodity trading advisor BCD Forex Investments LLC from membership

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