News Releases

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

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November 15, 2023
NFA orders London, United Kingdom introducing broker Braemar Securities LTD to pay a $140,000 fine

October 30, 2023
NFA orders New York, N.Y. introducing broker Oscar Gruss & Son Inc. to pay a $140,000 fine

September 25, 2023
NFA permanently bars Chicago-based commodity pool operator Tyche Asset Management LLC and its principal Phillip Moncel Galles from membership

September 18, 2023
NFA orders Houston-based introducing broker Bosworth Brokers LLC and one of its principals to each pay a $100,000 fine

September 18, 2023
NFA takes emergency enforcement action against Doral, Fla. commodity pool operator Bit5ive Mining Fund Advisor, LLC and its principal Richard Alexander Acosta

September 12, 2023
NFA orders Denver-based firm Transamerica Asset Management Inc. to pay a $140,000 fine and sanctions a former Transamerica employee

May 10, 2023
FINRA and NFA Discuss Crypto Assets at Special Summit

March 15, 2023
NFA orders Vero Beach, Fla. introducing broker Ocean Solutions LLC to pay a $140,000 fine

March 1, 2023
NFA orders Chicago, Ill. futures commission merchant E*Trade Futures LLC to pay a $75,000 fine

March 1, 2023
NFA orders London, U.K. firm GMG Brokers LTD and two employees to pay fines totaling $350,000

February 16, 2023
NFA orders Sioux Falls, S.D. introducing broker VBI Company to pay a $135,000 fine

January 12, 2023
NFA orders Chicago, IL swap dealer StoneX Markets LLC to pay a $1,000,000 fine

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