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BROKER'S COMPLAINT HISTORY LIST - B's

  Last Reg. Regulatory NFA Fines, Actions or   CFTC Registered Unless
FIRM NAME From… Actions Arbitrations Arbitration Awards Win / Loss Rep Cases Specified
B & B COMMODITIES 1987 0 0 0 0 0  
B AND T COMMODITIES INC 1985 0 0 0 0 0  
B T WILLIAMS COMMODITIES 1985 0 0 0 0 0  
B&B TRADING CO 1999 0 0 0 0 0  
B&D CORPORATION 1985 0 0 0 0 0  
B&L COMMODITIES PARTNERSHIP 1984 0 0 0 0 0  
BAAS COMMODITIES 1984 0 0 0 0 0  
BAC CORP SECURITIES AND INVESTMENT SERV 1987 0 0 0 0 0  
BAGBY BROKERAGE INC 1984 0 0 0 0 0  
BAIRD ROBERT KENT 1992 0 0 0 0 0 no current status
BALMAC FUTURES INC 1995 0 0 0 0 0 no current status
BANC OF AMERICA SECURITIES LLC 1998 0 0 0 0 0  
BANC ONE FUTURES LLC 1999 0 0 0 0 0 no current status
BANCA IMI SECURITIES CORP 2001 0 0 0 0 0  
BANJO COMMODITIES INCORPORATED 1987 0 0 0 0 0 no current status
BANK AUSTRIA SECURITIES INC 1991 0 0 0 0 0 no current status
BARCLAY INVESTMENTS INC 1984 0 0 0 0 0  
BARKLEY FINANCIAL CORP 1994 1 3 0 3W 0L 23  
BARNEBEE TRADING GROUP INC 1997 0 0 0 0 0  
BARNES BROKERAGE CO INC 1982 0 0 0 0 4  
BARRINGTON COMMODITY BROKERS INC 1992 0 0 0 0 0  
BARRONS COMMODITY CORP 2001 0 0 0 0 0  
BARTHBEL COMMODITIES INC 1993 0 0 0 0 0 no current status
BARWELL SECURITIES CORPORATION 1985 0 0 0 0 0  
BASIC COMMODITIES INC 1987 0 0 0 0 1  
BATES COMMODITIES INC 1987 0 0 0 0 0  
BAXTER COMMODITIES 2000 0 0 0 0 0  
BAY HARBOR TRADING COMPANY 2001 0 0 0 0 0 no current status
BAYOU SECURITIES LLC 1996 0 0 0 0 0  
BAYSIDE METALS INC 2001 0 0 0 0 0 no current status
BEACON FUTURES INC 1997 0 0 0 0 0  
BEALL INVESTMENT SERVICES LLC 2000 0 0 0 0 0  
BEANPOT FINANCIAL SERVICES INC 1991 0 0 0 0 0  
BEARD ENTERPRISES INC 1986 0 0 0 0 0  
BEDDOWS COMMODITIES INC 1984 1 0 5,000 fine 0 0  
BEDFORD FUTURES INC 1998 0 0 0 0 0  
BEL FUTURES 1999 0 0 0 0 0  
BEL-AIR CAPITAL CORP 1997 0 0 0 0 2  
BELVEDERE CAPITAL MANAGEMENT INC 2001 0 0 0 0 0  
BENCHMARK FINANCIAL SERVICES 1994 0 0 0 0 0  
BENCHMARK INVESTMENTS INC 1999 0 0 0 0 0  
BENCHMARK TRADING INC 1991 0 0 0 0 0  
BENEFICIAL CAPITAL INC 1987 0 0 0 0 0  
BENGAL PARTNERS LLC 1998 0 0 0 0 0 no current status
BENTON & EASTERN IOWA FARMER FEEDER COOP 1997 0 0 0 0 0  
BEREAN CAPITAL INC 1994 0 0 0 0 0  
BERRYMAN & ASSOCIATES 1996 0 0 0 0 0  
BEST FUTURES ONLINE 1999 0 0 0 0 0 no current status
BETA CAPITAL MANAGEMENT LP 1995 0 0 0 0 0  
BIRCH ASSET MANAGEMENT INC 1994 0 0 0 0 0  
BIRCH BROKERAGE COMPANY INC 1992 0 0 0 0 0  
BISHOP ROSEN & CO INC 1983 0 0 0 0 0  
BISHOPP GRAIN & COMMODITIES 1987 0 0 0 0 0  
BLACK DIAMOND FUTURES & TRADING INC 2001 0 0 0 0 0  
BLACK E L & COMPANY 1992 0 0 0 0 0  
BLAIR ASSOCIATES 2000 0 0 0 0 0  
BLAIR BROS 1996 0 0 0 0 0  
BLAKE FUTURES & OPTIONS INC 1989 0 0 0 0 0  
BLUE FISH COMMODITIES INC 2000 0 0 0 0 1  
BLUE MARLIN FINANCIAL INC 2001 0 0 0 0 0  
BLUMBERG INTERNATIONAL INC 1995 0 0 0 0 0  
BMI GROUP LLC 1998 0 0 0 0 0  
BOHL AND ASSOCIATES 1986 0 0 0 0 0  
BOLTON FINANCIAL SERVICES LLC 1990 0 0 0 0 0  
BONDURANT FUTURES INC 1987 0 0 0 0 0  
BOOGE COMMODITIES INC 1984 0 0 0 0 0  
BOSTROM COMMODITY BROKERAGE INC 1999 0 0 0 0 0  
BOTTOM LINE TRADING LLC 1999 0 0 0 0 0  
BOWER TRADING INC 1987 0 0 0 0 0  
BRANDEIS SERVICES INC 1990 0 0 0 0 0 no current status
BRANDON FINANCIAL GROUP INC 1998 0 0 0 0 1  
BRAUN T F & COMPANY 1984 0 0 0 0 0  
BREWER INVESTMENT GROUP INC 2000 0 0 0 0 0  
BRIDGETON GLOBAL INVESTOR SERV INC 1999 0 0 0 0 0  
BRIGHTON COMMODITIES INC 1988 0 0 0 0 0  
BROCK INVESTOR SERVICES INC 1987 0 1 0 1W  0L 1  
BROKER DEALER FINANCIAL SERVICES CORP 1995 0 0 0 0 0  
BROKER PROFESSIONAL INC 1999 0 0 0 0 0  
BROM PETERSON & CO 2001 0 0 0 0 0  
BROMAGEN & BROMAGEN 1984 0 0 0 0 0  
BROMAGEN GLENN S 1997 0 0 0 0 0  
BROOKE SECURITIES INC 1995 0 0 0 0 0 no current status
BROOKS COMMODITIES INC 1985 0 0 0 0 0  
BROOKSTREET SECURITIES CORPORATION 1990 1 0 $7,500 fine 0 0  
BROST INVESTMENTS INC 1992 0 0 0 0 0  
BROWN COMMODITIES 2000 0 0 0 0 0  
BROWN COMMODITIES 1984 0 0 0 0 0  
BROWN COUNTY COMMODITIES INC 1984 0 0 0 0 0  
BROWN KEITH L & CO 1994 0 0 0 0 0  
BROWN RICHARD JOHN 1993 0 0 0 0 0  
BRUNGARDT VAL H INC 1992 0 0 0 0 0  
BUCHANAN AND COMPANY INC 1985 0 0 0 0 0  
BUFFALO TRADING GROUP INC 1996 1 0 $5,000 fine   0  
BULL BEAR COMMODITIES INC 1997 0 0 0 0 0 no current status
BULLDOG TRADING CORP 1989 0 0 0 0 0  
BUMGARNER AG SERVICES 1989 0 0 0 0 0  
BUMP INVESTOR SERVICES 1998 0 0 0 0 0  
BURFORD COMMODITIES INC 1993 0 0 0 0 0  
BURNIDGE COMMODITIES 1990 0 0 0 0 0  
BURNS MARCUS PAUL JR 1995 0 0 0 0 0  
BUSINESS DYNAMICS INC 1985 0 0 0 0 0  
BUTTERFIELD TODD WENDELL 1997 0 0 0 0 0  

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