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BROKER'S COMPLAINT HISTORY LIST - A's

We believe this information is accurate, but no guarantee can be given that is completely correct. Information, registration status and complaint history can change at any time. We urge you to check the NFA's website for the most current information at www.nfa.futures.org. Below is some information that may help give you a better understanding of a broker's registration requirements and the meaning of disciplinary practices by the regulatory agencies.

What is NFA?
National Futures Association (NFA) is the industrywide self-regulatory organization for the U.S. futures industry. NFA's mission is to provide innovative regulatory programs and services that ensure futures industry integrity, protect market participants and help its Members meet their regulatory responsibilities. NFA's activities are overseen by the Commodity Futures Trading Commission (CFTC), the government agency responsible for regulating the U.S. futures industry.

Who are NFA's members?
Virtually every firm or individual who conducts futures or options on futures business with the public, must be registered with the CFTC and a Member of NFA. NFA performs the registration process on behalf of the CFTC. NFA Member categories include: Commodity Trading Advisors (CTA), Commodity Pool Operators (CPO), Futures Commission Merchants (FCM) and Introducing Brokers (IB). Definitions of each of these terms can be found in the Glossary. There are approximately 4,000 NFA Member firms. There also are about 55,000 NFA Associate Members, individuals who are Associated Persons of these NFA Member firms.

IF YOU HAVE ENTERED AN NFA ID THAT YOU ARE CERTAIN IS CORRECT AND "NO CURRENT STATUS" DISPLAYS, YOU MAY BE DEALING WITH AN INDIVIDUAL OR FIRM NOT REGISTERED WITH THE CFTC AND NOT AN NFA MEMBER. CONDUCTING FUTURES-RELATED BUSINESS WITH INDIVIDUALS OR FIRMS WHO ARE NOT CFTC REGISTRANTS AND NOT NFA MEMBERS COULD CAUSE YOU PROBLEMS.

Virtually all individuals and firms who conduct futures-related business with the public must be registered with the CFTC and be NFA Members. Under most circumstances, it is unlawful for firms or individuals, who are not CFTC registrants and are not NFA Members, to conduct futures business with public customers. If you think you are dealing with an individual or firm not registered with the CFTC and not an NFA Member, please inform NFA by going to File a Complaint or by calling NFA's Information Center at (800) 621-3570 between the hours of 8:00 AM and 5:00 PM Central Time.

Please Note: There are a variety of legitimate reasons why the status information of an individual or firm displays as "NO CURRENT STATUS." The most common reason is that the individual or firm is not currently registered with the CFTC and is not an NFA Member. Some individuals and firms have more than one NFA ID. To be certain of an individual's or firm's current CFTC registration and NFA membership status, you must check all the NFA IDs associated with the individual or firm.

Regulatory Action:
A disciplinary or remedial action taken by a regulatory body, such as the exchanges, NFA and the CFTC in enforcing its rules and the requirements of the Commodity Exchange Act.

Arbitration:
Arbitration is a dispute resolution forum. It is not a regulatory action.

CFTC Reparations Cases:
Reparations claims are not enforcement actions. They are attempts by customers to resolve futures-related disputes. The number of reparations claims filed does not necessarily mean that the individual or firm violated any rules. Some of the claims may have been dismissed, settled or withdrawn.

  Last Reg. Regulatory NFA Fines, Actions or   CFTC Registered Unless
FIRM NAME From… Actions Arbitrations Arbitration Awards Win / Loss Rep Cases Specified
1ST BROKERAGE LLC 1997 0 0 0 0 0 no current status
20/20 TRADING COMPANY 1999 0 0 0 0 0  
A&A TRADING INC 1995 0 0 0 0 1  
A&M FUTURES 2000 0 0 0 0 0  
AA COMMODITIES INC 1984 0 0 0 0 0  
AAKOP LLC 1996 0 0 0 0 0  
ABACUS INVESTMENT ADVISORY SERVICES INC 1987 0 0 0 0 0  
ABBOTT FINANCIAL SERVICES INC 1988 0 0 0 0 0  
ABC COMMODITIES INC 1992 0 0 0 0 0  
ABC TRADING 1998 0 0 0 0 0  
ABCO FUTURES 1990 0 0 0 0 0  
ABEL/NOSER CORP 1989 0 0 0 0 0  
ABERNATHY TECHNOLOGY RESEARCH INST INC 1997 0 0 0 0 0 no current status
ABG INVESTMENT GROUP INC 1998 0 0 0 0 0  
ABSOLUTE FUTURES 1999 0 0 0 0 0  
AC TRADING CO 1990 0 0 0 0 0  
ACCESS DISCOUNT TRADING 1998 0 0 0 0 0  
ACCESS DISCOUNT TRADING INC 1999 0 0 0 0 0  
ACCESS SECURITIES INC 1989 0 0 0 0 0  
ACCESS-DIRECT DISCOUNT TRADING 1997 0 0 0 0 0  
ACTIVE CYCLES INC 1991 0 0 0 0 0  
ACUVEST INC 1999 0 0 0 0 0  
ADBA SUPERIOR AG SERVICES 1995 0 0 0 0 0  
ADDISON FINANCIAL SERVICES INC 1989 0 0 0 0 0  
ADOLPH KOMORSKY INVESTMENTS INC 1996 0 0 0 0 0  
ADVANCE TRADING INC 1984 0 0 0 0 1  
ADVANCED COMMODITY TRADING INC 1996 0 0 0 0 0  
ADVANCED MARKET CONCEPTS INC 2001 0 0 0 0 0  
ADVANTAGE ASSET MANAGEMENT LLC 1985 0 0 0 0 1  
ADVANTAGE FUTURES INC 1996 0 0 0 0 0  
ADVANTAGE GLOBAL MARKETS 2000 0 0 0 0 0 no current status
ADVANTAGES IN OPTIONS 1996 0 0 0 0 0  
AFFINITY TRADING LLC 1995 0 0 0 0 0  
AFIN SECURITIES INTERNATIONAL LTD 1995 0 0 0 0 0  
AG & INVESTMENT SERVICES INC 1987 0 0 0 0 1  
AG COM INC 1984 0 0 0 0 0  
AG COMM TRADING 1994 0 0 0 0 0  
AG COMMODITIES 2000 0 0 0 0 0  
AG FS INC 1999 0 0 0 0 0  
AG MARKETING & MANAGEMENT 1988 0 0 0 0 0  
AG MARKETING AND MANAGEMENT INC 2000 0 0 0 0 0  
AG PRO COMMODITIES 1999 0 0 0 0 0  
AG PRO COMMODITIES LTD 1988 0 0 0 0 0 no current status
AG VANTAGE CONSULTING LLC 2001 0 0 0 0 0 no current status
AGMARK BROKERAGE SERVICES INC 1998 0 0 0 0 0  
AGMARK INC 1990 0 0 0 0 0  
AGR COMMODITIES INC 1991 0 0 0 0 0  
AGRI ADVISORY ASSOCIATES INC 1991 0 0 0 0 0  
AGRI BEEF RISK MANAGEMENT 1999 0 0 0 0 0  
AGRI COMMODITIES INC 1988 0 0 0 0 0  
AGRI COMMODITY 1992 0 0 0 0 0  
AGRI GRAIN MARKETING FUTURES LLC 2000 0 0 0 0 0  
AGRI GRAPHICS 1997 0 0 0 0 0  
AGRI MANAGEMENT SYSTEMS INC 1989 0 0 0 0 0  
AGRI SOURCE INC 1997 0 0 0 0 0  
AGRICULTURAL INTRODUCING BROKER SVCS LLC 1995 0 0 0 0 0  
AGRICULTURAL MKTING & MGMT SVCS INC 1988 0 0 0 0 0  
AGRIMAR FUTURES INC 1999 0 0 0 0 0  
AGRI-MARK INC 1984 0 0 0 0 1  
AGRI-MARKETING SERVICE 1991 0 0 0 0 0  
AGRI-TRADING INC 1984 0 0 0 0 0 no current status
AGTARGET INC 1993 0 0 0 0 0  
AGVANTAGE MARKETING INC 1999 0 0 0 0 0  
AGWEST COMMODITIES LLC 2001 0 0 0 0 0  
AH NEWMAN GRAIN INC 2001 0 0 0 0 0  
AIC FUTURES INC 1990 0 0 0 0 0  
AIG INTERNATIONAL GC INC 1994 0 0 0 0 0  
AIM FUTURES & OPTIONS 2001 0 0 0 0 0  
AISCO FUTURES INC 1996 0 0 0 0 0  
AKJ COMMODITIES INC 1988 0 0 0 0 0  
ALAMO COMMODITIES INC 1984 0 0 0 0 1  
ALARIC CORPORATION 1996 0 0 0 0 0 no current status
ALASKA FUTURES 1994 0 0 0 0 0  
ALBERT CHOPAK INC 1988 0 0 0 0 0 no current status
ALESSANDRA CAPITAL MGT LLC 1999 0 0 0 0 0  
ALEXANDER TRADING & MANAGEMENT 1995 0 0 0 0 0  
ALEXANDER WESCOTT & CO INC 1997 0 0 0 0 0  
ALEXIS TRADING INC 1998 0 0 0 0 0 no current status
ALFA SERVICES INC 1984 0 0 0 0 0  
ALFORD JAMES V 1984 0 0 0 0 0  
ALGER FUTURES ASSOCIATES INC 1989 0 0 0 0 0  
ALGONQUIN FINANCIAL SERVICES LLC 1998 0 0 0 0 0  
ALIDA-PEARL COOPERATIVE ASSOCIATION 1990 0 0 0 0 0  
ALKIRE ADVISORY GROUP INC 1988 0 0 0 0 0  
ALLEGRO TRADING COMPANY INC 1996 0 0 0 0 0 no current status
ALLEN & PIERCE SECURITIES INC 1989 0 0 0 0 0 no current status
ALLEN/BURTON COMMODITIES 1989 0 0 0 0 0  
ALLENBERG TRADING LLC 1999 0 0 0 0 0  
ALLENDALE INC 1983 0 1 0 1W  0L 0  
ALLIANCE FINANCIAL LLC 1997 0 0 0 0 0  
ALLIANCE MARKETING AND TRADING CO LLC 1997 0 0 0 0 0  
ALPHA COMMODITIES INC 1999 0 0 0 0 0  
ALPHA FINANCIAL LLC 2000 0 0 0 0 0 no current status
ALPHA ONE TRADING 1997 0 0 0 0 0  
ALPHA SECURITIES CORP 1996 0 0 0 0 0  
ALTA TRADING SERVICES LLC 2000 0 0 0 0 0  
ALTAVEST WORLDWIDE TRADING INC 1997 0 0 0 0 0  
ALTMAN INVESTMENT CORPORATION 1995 0 0 0 0 0 no current status
ALVA FUTURES 1990 0 0 0 0 0  
AMALGAMEX INC 2000 0 0 0 0 0  
AMARILLO BROKERAGE COMPANY 1986 0 0 0 0 0  
AMBROSE AND COMPANY 1990 0 0 0 0 0  
AMEREX FUTURES INC 1995 0 0 0 0 0  
AMERI GROUP FINANCIAL SVS LLC 1999 0 0 0 0 0  
AMERICAN EXPRESS FINANCIAL ADVISORS INC 1986 0 0 0 0 0  
AMERICAN FUTURES & OPTIONS INC 1997 0 0 0 0 0  
AMERICAN FUTURES TRADING 2001 0 0 0 0 0  
AMERICAN GRAIN CO 1992 0 0 0 0 0  
AMERICAN HERITAGE COMMODITY CORPORATION 1998 0 0 0 0 1  
AMERICAN LIBERTY TRADING INC 2001 0 0 0 0 0 no current status
AMERICAN PACIFIC COMMODITIES INC 2000 0 0 0 0 0  
AMERICAN RESEARCH & TRADING INC 1996 0 0 0 0 0  
AMERICAN-PACIFIC FUTURES INC 1995 0 0 0 0 0  
AMERICAS GLOBAL TRADERS INC 1997 0 0 0 0 1  
AMERIQUEST FINANCIAL GROUP INC 1999 0 0 0 0 0 no current status
AMGINE INC 2001 0 0 0 0 0  
ANDCO INVESTMENT SERVICES 1996 0 0 0 0 0  
ANDERSON CAPITAL MANAGEMENT LLC 1999 0 0 0 0 0  
ANDERSON COMMODITIES 1993 0 0 0 0 0  
ANDERSON COMMODITIES & CONSULTING 2000 0 0 0 0 0  
ANDERSONS INVESTMENT SERVICES CORP THE 1988 0 0 0 0 0  
ANDERSON-WILLIAMS INVESTMENTS INC 1984 0 0 0 0 0  
ANGLIN STEWART TRADING LTD 2000 0 0 0 0 0  
ANGUS JACKSON INC OF FLORIDA 1991 0 0 0 0 0  
ANSBACHER INVESTMENT MANAGEMENT INC 1995 0 0 0 0 0  
ANSPACHER COMMODITIES 1986 0 0 0 0 0  
ANSPACHER FUTURES OF KANSAS INC 1986 0 0 0 0 0  
ANSPACHER OF YUMA INC 1990 0 0 0 0 0  
ANTHONY JOHN COLUMBO INC 1995 0 0 0 0 1  
APEX FUTURES INC 1998 0 0 0 0 0  
APEX TRADING CO 2001 0 0 0 0 0  
APEX TRADING LLC 2000 0 0 0 0 0 no current status
APPL INTERNATIONAL INC 1988 0 0 0 0 0  
ARCFUTURES INC 2000 0 0 0 0 0  
ARCHER & MARX FUTURES CO 1989 0 0 0 0 0 no current status
ARCHER COMMODITIES 1983 0 0 0 0 0  
ARGO FUTURES GROUP INC 1997 0 0 0 0 0  
ARIZONA COMMODITIES & OPTIONS LLC 1984 0 0 0 0 0  
ARROW FUTURES & OPTIONS INC 1997 0 0 0 0 0  
ASCANI BROKERAGE SERVICES INC 1991 0 0 0 0 0  
ASCONA MANAGEMENT LLC 1996 0 0 0 0 0  
ASHLAND GLOBAL SECURITIES LLC 1998 0 0 0 0 0 no current status
ASPEN FUTURES CO 1996 0 0 0 0 0  
ASPEN PARTNERS LTD 1999 0 0 0 0 0  
ASPIRE TRADING COMPANY LLC 2000 0 0 0 0 0  
ASSET GROWTH INVESTMENT SVCS 2001 0 0 0 0 0  
ATKINSON WADE & ASSC INVSTMNT BRKERS INC 1990 0 0 0 0 0 no current status
ATLANTIC GLOBAL COMMODITIES INC 2000 0 0 0 0 0  
ATLAS FUTURES GROUP INC 1999 0 0 0 0 0 no current status
ATTICUS PARTNERS 1998 0 0 0 0 0  
AUDOBON SECURITIES INC 1989 0 0 0 0 0  
AUGLAIZE FARMERS COOPERATIVE INC 1993 0 0 0 0 0  
AUSTIN COMMODITIES 1988 0 0 0 0 0  
AUTRANET INC 1984 0 0 0 0 0  
AVENIR 1999 0 0 0 0 0  
AVM LP 1984 0 0 0 0 0  
AXIS TRADING COMPANY 1999 0 0 0 0 0  

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