News & Notices | National Futures Association

News Releases

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

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December 10, 2015
NFA bars Robert Hawkes Potter, a former associated person, from membership

December 09, 2015
NFA bars Chicago, Illinois futures commission merchant X-Change Financial Access LLC from acting as an FCM, and orders it to pay a $75,000 fine

November 10, 2015
NFA bars West Chester, Ohio commodity trading advisor YZ Investment Services and its principal, Yanping Zhang, from membership for five years

November 02, 2015
NFA bars Stamford, Conn. commodity pool operator and commodity trading advisor Nord Capital Advisors from membership

October 29, 2015
NFA bars Woodstock, Ga., commodity trading advisor Jonathan Parker from membership

October 21, 2015
NFA bars Philip M. Worley, principal of Burnet, Texas firm McElhannon Group, from membership

September 18, 2015
NFA bars Houston, Texas firm RNS Holdings and its principal, Raja Michael Mawad, from membership

September 18, 2015
NFA bars Burnet, Texas firm McElhannon Group from membership

August 28, 2015
NFA bars British Virgin Islands firms Primary Assets Management Corporation and Accredited Investment Management Corp. from membership

August 11, 2015
NFA bars Southampton, N.Y. firm Grace Financial Group LLC and its principal Christopher T. Bondy from membership

July 30, 2015
NFA takes emergency enforcement action against commodity trading advisor Jonathan Parker

July 16, 2015
NFA bars Boca Raton, Fla. firm Wealth Creation Investments LLC and Delray Beach, Fla. firm Fox Financial Group LLC from membership

May 13, 2015
NFA permanently bars Chicago commodity trading advisor, Dr. Andrew James Aronson

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

April 14, 2015
NFA takes emergency enforcement action against Houston, Texas firm RNS Holdings LP and its principal, Raja Michael Mawad

April 14, 2015
NFA orders Memphis, Tenn. firm Dow McVean Capital Management LLC and its principal, Charles Dow McVean, Jr., to pay $105,000 fine

April 14, 2015
NFA orders Memphis, Tenn. firm K&M Trading, LLC and its principals, William Kaelin and John Morrissey, to pay $105,000 fine

April 14, 2015
NFA orders Memphis, Tenn. firm Wharton Asset Management LLC and its principal, Michael J. Wharton, to pay $105,000 fine

April 14, 2015
NFA orders Memphis, Tenn. firm BLS AG Futures LLC and its principal, Brian L. Swords, to pay $105,000 fine

April 14, 2015
NFA orders Memphis, Tenn. firm CDM Investment Management LLC and its principal, Charles Dow McVean Sr., to pay $105,000 fine

April 14, 2015
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

March 05, 2015
NFA takes emergency enforcement action against Burnet, Texas firm McElhannon Group, Inc. and its principal, Philip Mack Worley

February 27, 2015
NFA permanently bars New York firm Chazon QTA Quantitative Trading Artists LLC and its principal, Lawrence I. Fejokwu

February 19, 2015
NFA's Board of Directors re-elects Christopher Hehmeyer to serve as Chairman

January 13, 2015
NFA orders Lake Forest, Ill. firms Aspirant Management LLC and Luckow Group, Inc. to permanently withdraw from NFA membership and sanctions the firms' principal, Paul D. Luckow

January 12, 2015
NFA orders Orlando, Fla. firm Diamond Head Capital LLC to permanently withdraw from NFA membership and fines eFloorTrade LLC, John A. Moore and Christopher T. Moore

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