Disclosure list - National Futures Association(NFA) - WikiFX

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Sanction

Sanction

2022-11-09

NFA orders Chicago, Ill. introducing broker Stage 5 Trading Corp. to pay a $75,000 fine

Sierra Futures

TF4L

Sanction

2022-09-06

NFA orders Denmark firm Direct Hedge Danmark Fondsmaeglerselskab AS to pay a $70,000 fine

Direct Hedge

Sanction

2022-04-14

NFA orders Connecticut-based Interactive Brokers LLC to pay a $250,000 fine

InteractiveBrokers

Sanction

2022-03-30

NFA orders London, U.K. introducing broker Marex Spectron International Limited to pay a $250,000 fine

MAREX

Sanction

2022-03-30

NFA permanently bars Chennai, India commodity pool operator and commodity trading advisor eDeal Market LLC and its principal Nithya Narasimhan from membership.

Edealfx

Sanction

2022-03-30

NFA orders Dallas, Texas introducing broker and commodity trading advisor Member Coquest Incorporated to pay a $275,000 fine

Coquest

Sanction

2021-10-28

NFA orders London, U.K. introducing broker Freight Investor Services Limited to pay a $140,000 fine

FIS

Sanction

2021-09-16

NFA orders London, U.K. swap dealer ED&F Man Capital Markets Limited to pay a $150,000 fine

ED&F Man

Sanction

2021-08-05

NFA orders New York, N.Y. introducing broker Tullett Prebon Financial Services LLC to pay a $150,000 fine

Tullett Prebon

Sanction

2021-06-29

NFA orders Chicago, Ill. swap dealer The Northern Trust Company to pay a $999,000 fine

Northern Trust

Sanction

2021-05-20

NFA orders Plymouth, Minn. introducing broker Roy E. Abbott Futures, Inc. to pay a $75,000 fine and approximately $198,000 in restitution to customers

Abbott Futures

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