News Releases

December 31, 2013
NFA orders Westminster, California commodity trading advisor Cap Ex Partners LLC to permanently withdraw from NFA membership and sanctions its principals, Keith R. Bramlett and Ralph H. Johnson

December 20, 2013
NFA takes emergency enforcement action against commodity pool operator R2 Capital Group LLC and its principal, Randell A. Vest

December 18, 2013
NFA permanently bars Cincinnati commodity pool operator QFC LLC

December 13, 2013
NFA takes emergency enforcement action against Illinois firm Novo Trading LLC and one of its principals, Thomas Henry O'Connell Jr.

November 15, 2013
Futures Industry Releases Insurance Study

November 8, 2013
NFA permanently bars Escondido, California commodity trading advisor and commodity pool operator Light Tower Investments, Inc. and its principal, Klaus P. Weyers

October 21, 2013
NFA orders AlphaMetrix LLC to satisfy its obligations to certain pool participants by November 1

October 15, 2013
NFA fines Salt Lake City firm Interbank FX LLC $600,000 for failure to report trade data and failure to keep accurate books and records

September 24, 2013
NFA revokes registration of introducing broker Gold Coast Futures Group and its associated person Stanley C. Brooks

September 18, 2013
NFA fines New York forex firm FXDirectDealer LLC $1.1 million and orders the firm to pay $1.8 million in restitution to customers

September 4, 2013
NFA takes emergency enforcement action against California firm Newport Private Capital LLC, Jonathan M. Hansen, the firm's principal, and David M. Giunta, a former principal of the firm

August 7, 2013
NFA orders Pennsylvania commodity trading advisor Fidelity Planning Group to permanently withdraw from NFA membership and sanctions its principal, Terry James Dorrity

July 25, 2013
NFA sanctions James E. Green, principal of FX Direct Dealer LLC (FXDD), with fine of $75,000

July 19, 2013
NFA permanently bars Sacramento, California commodity trading advisor ABL Traders Trading Group and sanctions its principal, Abdul Latona

July 8, 2013
NFA fines Connecticut firm Interactive Brokers $300,000 in settlement of two Complaints

June 18, 2013
NFA Signs Agreement with TeraExchange to Provide Regulatory Services to its Swap Execution Facility

June 7, 2013
NFA takes emergency enforcement action against New York firm SK Madison, LLC and its sole principal, Michael Seward

May 22, 2013
NFA takes emergency enforcement action against California firm Light Tower Investments, Inc. and one of its principals, Klaus P. Weyers

May 1, 2013
NFA takes emergency enforcement action against Robert Juan Escobio, an associated person and principal of Southern Trust Securities, Inc., a futures firm located in Coral Gables, Florida

April 19, 2013
National Futures Association, CFTC, AARP and Chicago Department of Family & Support Services co-sponsor "Avoiding Fraud is Your Best Money Strategy" during Money Smart Week

March 28, 2013
NFA takes emergency enforcement action against North Carolina firm James A. Shepherd Inc. and its principal, James A. Shepherd

March 22, 2013
NFA levies a total of $750,000 in fines against California firm First Quadrant LP and Kent Charles Roberts II, a former principal and associated person of the firm

February 27, 2013
NFA's Board of Directors re-elects Christopher Hehmeyer to serve as Chairman

January 31, 2013
National Futures Association adopts recommendations from an independent analysis of NFA's Peregrine Financial Group audits

January 31, 2013
NFA takes emergency enforcement action against New York firm Prodigy Asset Management LLC and its principal, Ezekiel Abdel Rahman