Search Results for: Business Conduct Committee
NFA permanently bars introducing broker
October 5th, 2016
National Futures Association (NFA) has permanently barred Chicago, Ill., introducing broker Vankar Trading Corp. (Vankar) from membership and from acting as principal of an NFA Member. In addition, NFA has barred John S. Karvelas, sole principal and an associated person of Vankar, ...
NFA bars commodity trading advisor firm and its associated person
March 24th, 2016
National Futures Association (NFA) has permanently barred Rowland Heights, Calif., commodity trading advisor Accusigma Corporation (Accusigma) and its sole listed principal and associated person, Brent Park, from membership and from acting as a principal of an NFA Member. The Decision, issued by NFA’s ...
NFA orders Plantation, Florida retail foreign exchange dealer and swap dealer IBFX to permanently withdraw from NFA membership
March 16th, 2016
National Futures Association (NFA) has ordered IBFX, Inc. (IBFX), an NFA Member registered retail foreign exchange dealer and provisionally registered swap dealer (SD) located in Plantation, Florida, to permanently withdraw from NFA membership and from acting as a principal of an ...
NFA bars Streamwood, Ill. introducing broker Portfolio Managers Inc. from membership
March 1st, 2016
National Futures Association (NFA) has permanently barred Portfolio Managers, Inc. (PMI), an NFA Member introducing broker located in Streamwood, Ill., and PMI’s LA branch office associated persons (AP) Christopher M. Hogan andThomas G. Heneghan from membership and from acting as principals of an ...
NFA permanently barred an introducing broker firm
January 26th, 2016
National Futures Association (NFA) has permanently barred CC Trading Company LLC (CC Trading), an NFA Member introducing broker located in New York, N.Y., from membership and from acting as a principal of an NFA Member. The Decision, issued by an NFA Hearing ...
NFA permanently barred firms from commodity trading advisor and pool operator membership
September 21st, 2015
NFA bars Burnet, Texas firm McElhannon Group from membership National Futures Association (NFA) has permanently barred the McElhannon Group, Inc. (McElhannon Group), an NFA Member commodity trading advisor, from membership and from acting as a principal of an NFA ...
NFA bars two British Virgin Islands firms from membership
August 31st, 2015
National Futures Association (NFA) has permanently barred Primary Assets Management Corporation (Primary Assets), an NFA Member commodity trading advisor and commodity pool operator, and Accredited Investment Management Corp. (Accredited Investment), a former NFA Member introducing broker, from membership. Peter ...
NFA bars N.Y. firm Grace Financial Group LLC and its principal Christopher T. Bondy
August 12th, 2015
National Futures Association (NFA) has permanently barred Grace Financial Group LLC (Grace), an NFA Member introducing broker, and Christopher T. Bondy (Bondy), a principal and associated person (AP), from NFA membership. The Decisions as to Grace and Bondy, issued by NFA’s Business Conduct Committee (BCC), are ...
NFA orders Memphis, Tenn. firm K&M Trading, LLC and its principals, William Kaelin and John Morrissey, to pay $105,000 fine
April 15th, 2015
National Futures Association (NFA) has ordered K&M Trading, LLC (K&M), William Kaelin and John Morrisseyto pay a $105,000 fine. K&M is an NFA Member commodity trading advisor located in Memphis, Tenn. Kaelin and Morrissey are the only principals and associated persons of the firm. ...
National Futures Association fines
January 13th, 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. National Futures Association (NFA) has ordered Diamond Head Capital LLC, an NFA Member ...
