News Releases
NFA issues news releases to announce any significant disciplinary action or other NFA news.
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NFA takes emergency enforcement action against Georgetown, Cayman Islands commodity pool operator and commodity trading advisor Beverstone Fund Management and its principal Roland Kaehler
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 5, 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 3, 2018
NFA bars Rapid City, S.D. commodity trading advisor The Stock Mentor LLC and its principal Brian Kelly Johnson from membership
March 1, 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 1, 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