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BROKER'S COMPLAINT HISTORY LIST - C's

  Last Reg. Regulatory NFA Fines, Actions or   CFTC Registered Unless
FIRM NAME From… Actions Arbitrations Arbitration Awards Win / Loss Rep Cases Specified
C&N TRADING CO INC 1992 0 0 0 0 0  
C&S MARKETING DIVISION INC 1990 0 2 $625 arb 1W  1L 2  
CAFFEY INVESTMENT GROUP INC THE 1998 0 0 0 0 0  
CAINE FUTURES LLC 2001 0 0 0 0 0  
CALDWELL INTERNATIONAL SECURITIES CORP 2001 0 0 0 0 0  
CALIFORNIA MANAGED ACCOUNTS INC 1986 1 0 $2,000 fine 0 0  
CALVARY FINANCIAL GROUP LLC 1999 1 0 Permanent Bar 0 0  Permanent Bar From NFA
CAMBRIDGE INTERNATIONAL SECURITIES INC 1996 0 0 0 0 0  
CAMBRIDGE INVESTMENT RESEARCH INC 1999 0 0 0 0 0  
CAMP CREEK COMMODITY & CAPITAL INVST COR 1990 0 0 0 0 0  
CAMPBELL CAPITAL MANAGEMENT INC 1987 0 0 0 0 0  
CAMPCO INC 1984 0 0 0 0 0  
CANNON TRADING COMPANY INC 1988 0 0 0 0 1  
CAPE FEAR GROUP LLC 1998 0 0 0 0 0  
CAPITAL COMMODITIES 1997 0 0 0 0 0  
CAPITAL FINANCE GROUP INC 2000 0 0 0 0 0 no current status
CAPITAL INVESTMENT SERVICES INC 2000 0 0 0 0 0  
CAPITAL MANAGEMENT PARTNERS INC 1988 0 0 0 0 0  
CAPITAL MANAGEMENT SYSTEMS 1996 0 0 0 0 0 no current status
CAPITAL TRADING ASSOCIATES 1998 0 0 0 0 0  
CAPITOL COMMODITY SERVICES INCORPORATED 1984 1 0 Stricter Regulations 0 1  
CAPROCK COMMODITIES 1990 0 0 0 0 0  
CAPROCK SECURITIES 1984 0 0 0 0 0  
CAPTRUST FINANCIAL ADVISORS LLC 1998 0 0 0 0 0  
CARDINAL ASSET MANAGEMENT LLC 2000 0 0 0 0 0  
CARDINAL TRADING 1995 0 0 0 0 0  
CARGILL COMMODITY SERVICES INC 1999 0 0 0 0 0  
CARLIN FUTURES LLC 2001 0 0 0 0 0  
CARNEGIE TRADING GROUP LTD INC THE 1997 0 0 0 0 0  
CAROLINA COMMODITIES 1995 0 0 0 0 0  
CARR GLOBAL ADVISORS INC 1991 0 0 0 0 0  
CASCADE COMMODITIES 1994 0 0 0 0 0  
CASCIO TRADING COMPANY 2001 0 0 0 0 0  
CASS COUNTY COMMODITIES 1992 0 0 0 0 0  
CASTLE TRADING INC 2000 0 0 0 0 0  
CATAO TRADING INC 1993 0 0 0 0 0  
CATHAY FINANCIAL LLC 1993 0 0 0 0 0  
CATRANACO INCORPORATED 1986 1 0 $15,000 fine 0 1  
CATTLEMANS COMMODITIES 1993 0 0 0 0 0  
CAVENAUGH FARMS INC 1994 0 0 0 0 0  
CBH COMMODITIES INC 1985 0 0 0 0 0  
CCM FUTURES LLC 1999 0 0 0 0 0  
CELTER COMMODITIES & FUTURES INC 1994 0 0 0 0 0  
CELTIC BROKERAGE INCORPORATED 1982 0 0 0 0 0  
CENTRAL FUTURES INC 1988 0 0 0 0 0  
CENTRAL IOWA COMMODITY SERVICES 1989 0 0 0 0 0  
CENTRAL MISSOURI COMMODITIES 1995 0 0 0 0 0  
CENTRAL STATES COMMODITIES INC 1984 0 0 0 0 0  
CENTRUST GROUP INC 1996 0 0 0 0 0  
CENTURY GROUP HOLDINGS LLC 1999 0 0 0 0 0  
CERES TRADING GROUP INC 1995 1 1 $34,056arb, $75,000 fine 0W  1L 21  
CEROILFOOD FUTURES NEW YORK INC 1994 0 0 0 0 0 no current status
CEROS BROKER SERVICE INC 1995 0 0 0 0 0  
CGB DIVERSIFIED SERVICES INC 1998 0 0 0 0 0  
CHADWICK INVESTMENT GROUP 1997 0 0 0 0 1  
CHAMPAIGN LANDMARK INC 1992 0 0 0 0 0  
CHAPMAN & GRAHAM 1985 0 0 0 0 0  
CHAPMAN COMMODITIES 1986 0 0 0 0 0 no current status
CHAPMAN TRADING COMPANY 1999 0 0 0 0 0  
CHARLES COCHRAN & ASSOCIATES INC 1992 0 0 0 0 0  
CHARLES SCHWAB & CO INC 1997 0 0 0 0 1  
CHART TOP INC 1997 0 0 0 0 0  
CHARTER COMMODITIES LTD 1996 0 0 0 0 0  
CHARTEWEL COMMODITIES 1999 0 0 0 0 0  
CHATFIELD JOHN SNOWDEN 1993 0 0 0 0 0  
CHEMATCH.COM DELAWARE1 INC 2001 0 0 0 0 0  
CHERYL L WELSH LLC 1997 0 0 0 0 0  
CHESAPEAKE INVESTMENT SERVICES INC 1997 0 0 0 0 2  
CHIARA VINCENT A 1997 0 0 0 0 0 no current status
CHICAGO DIRECT INC 1998 0 0 0 0 0  
CHICAGO FUTURES TRADERS 1990 0 1 0 1W  0L 2  
CHICAGO TRADERS GROUP CORP 1997 0 0 0 0 0  
CHICAGO TRADING AND OPTIONS CO 1996 0 0 0 0 0  
CHRISTENSEN COMMODITIES INC 2001 0 0 0 0 0  
CIMARRON COMMODITIES 1987 0 0 0 0 0  
CIRCLE COMMODITIES INC 1998 0 0 0 0 0 no current status
CITRUS CAPITAL INC 1998 0 0 0 0 0  
CL GLAZER & COMPANY INC 1983 0 0 0 0 0  
CLARK AG MARKETING SERVICES 1985 0 0 0 0 0  
CLARK TRADING CORPORATION OF NEW YORK 1994 0 0 0 0 0 no current status
CLEARTRADE COMMODITIES 1994 0 0 0 0 0 no current status
CLEARTRADE INC 2001 0 0 0 0 0  
CLIFDEN CAPITAL INC 2001 0 0 0 0 0  
CLUB 3 TRADING INC 2001 0 0 0 0 0  
CLUB AGRA 1993 0 0 0 0 0  
CLUCAS TRADING CO 1985 0 0 0 0 0  
CMA REPORTS INC 1998 0 0 0 0 0  
CMB TRADE GROUP 2000 0 0 0 0 0  
COAST ASSET SECURITIES LLC 1992 0 0 0 0 0  
COASTAL FUTURES & OPTIONS 2000 0 0 0 0 0  
COE COE COMMODITY 1992 0 0 0 0 0  
COLEMAN AND ASSOCIATES 1997 0 0 0 0 0  
COLLARD FINANCIAL SERVICES 1993 0 0 0 0 1  
COLLINS COMMODITIES 1986 0 0 0 0 0  
COLONIAL FUTURES 1990 0 0 0 0 0  
COLUMBIA COMMODITIES INCORPORATED 1987 0 0 0 0 1  
COLUMBIA FUTURES GROUP INC 1990 0 0 0 0 1  
COMART INCORPORATED 1983 0 0 0 0 0  
COMEK FINANCIAL GROUP INC 1999 0 0 0 0 0  
COMMERCE TRADING CO INC 1992 0 1 0 1W  0L 0  
COMMERCIAL HEDGE SERVICES INC 1988 0 0 0 0 0  
COMMODITIES INC OF LARNED 1984 0 0 0 0 0  
COMMODITY ADVISORY CORP OF TEXAS 1983 2 0 $13,000 fines 0 1 no current status
COMMODITY BROKERS INTERNATIONAL 2000 0 0 0 0 0  
COMMODITY CENTRAL INC 1998 0 0 0 0 0  
COMMODITY CONSULTANTS INC, IA 1984 0 0 0 0 0  
COMMODITY CONSULTANTS INC, NE 1985 0 0 0 0 0  
COMMODITY DEALERS INC 1994 0 0 0 0 0  
COMMODITY FLOOR SERVICES INC 1991 0 0 0 0 0  
COMMODITY FUTURES & OPTIONS SERVICE INC 1988 0 0 0 0 2  
COMMODITY FUTURES TRADING CORP 1996 0 0 0 0 0  
COMMODITY GRP ASSOC REP FUTURES&OPTIONS 2001 0 0 0 0 0  
COMMODITY INFORMATION SYSTEMS INC 1982 0 0 0 0 0  
COMMODITY INVESTMENT GROUP 2001 0 0 0 0 0  
COMMODITY INVESTMENT MANAGEMENT INC 1982 0 0 0 0 0  
COMMODITY INVESTOR SERVICES INC 1998 0 0 0 0 0  
COMMODITY INVESTORS GROUP INC 2000 0 0 0 0 0  
COMMODITY MANAGEMENT GROUP INC 1995 0 0 0 0 0 no current status
COMMODITY MANAGEMENT INC 1989 0 0 0 0 0 no current status
COMMODITY OPERATIONS INC 1987 0 0 0 0 0  
COMMODITY PARTNERS BROKERAGE INC 1998 0 0 0 0 0  
COMMODITY PROGRAMS INC 1988 1 1 $125,00 fines, $4,927arb 0W  1L 3  
COMMODITY RESEARCH AND TRADING CO INC 1999 0 0 0 0 0 no current status
COMMODITY RESEARCH INSTITUTE LTD 1977 1 0 $15,000 fine 0 0  
COMMODITY REVIEW AND OUTLOOK 1995 0 0 0 0 1  
COMMODITY RISK MANAGEMENT INC 1996 0 0 0 0 0  
COMMODITY SERVICES INC 1992 0 0 0 0 0  
COMMODITY TRACKERS 2000 0 0 0 0 0  
COMMODITY TRADERS INC 1982 1 0 $1,000 fine 0 0  
COMMODITY TRADERS OF AMERICA 2000 0 0 0 0 0  
COMMODITY TRADING CORP 1987 1 1 $27,500 fine 1W  0L 2  
COMMSTOCK INVESTMENTS INC 1983 0 0 0 0 0  
COMPAK ASSET MANAGEMENT 1999 1 0 0 0 1  
COMPASS FINANCIAL 1990 1 1 $5,000 fine  $7,500 arb 0W  1L 0  
COMPLETE PRICE MANAGEMENT INC 1986 0 1 $700 arb 0W  1L 3  
COMQUEST FUTURES INC 1992 1 0 $20000 fine 0 1  
COMTECH TRADING 2001 0 0 0 0 0  
COMTEK TRADING GROUP INC 2000 0 0 0 0 0 no current status
COMTRADE FINANCIAL COMPANY 2001 0 0 0 0 0  
CONCORDE TRADING GROUP INC 1988 4 2 $145,000 fine 2W  OL 107  
CONNING & COMPANY 1999 0 0 0 0 0  
CONRARDY COMMODITIES INC 1998 0 0 0 0 0  
CONSOLIDATED MARKETING & MANAGEMENT LLC 1999 0 0 0 0 0  
CONSULTING SERVICES GROUP LLC 1990 0 0 0 0 0  
COOP SERVICE CENTER 1999 0 0 0 0 0  
COQUEST INCORPORATED 1990 0 0 0 0 0  
CORAL GABLES TRADING CORPORATION 1998 0 0 0 0 0  
CORBIN INVESTMENTS INC 1985 0 0 0 0 0  
CORE FINANCIAL GROUP LLC 2001 0 0 0 0 0  
CORNERSTONE NATIONAL BROKERAGE CORP 1999 1 0 Permanent Withdraw Reg. 0 0 no current status
CORRA PETER L 2000 0 0 0 0 0 no current status
COUNTRY COMMODITIES 2000 0 0 0 0 0  
COUNTRY FUTURES INC 1992 0 0 0 0 0  
COUNTRYMARK COOPERATIVE INC 2000 0 0 0 0 0  
COUNTRYSIDE COMMODITIES 1984 0 0 0 0 1  
COURTNEY BARBARA MCGOWAN 1994 0 0 0 0 0  
COX CLAIR EDWARD III 1998 0 0 0 0 0  
CP COMMODITIES 1999 0 0 0 0 0  
CREATIVE CAPITAL MANAGEMENT INC 1999 0 0 0 0 0  
CREDIT LYONNAIS SECURITIES USA INC 1995 0 0 0 0 0  
CRESCENT FUTURES INC 2000 0 0 0 0 0 no current status
CREWS & ASSOCIATES INC 1987 0 0 0 0 0  
CROKER-RHYNE CO INC 1985 0 0 0 0 0  
CROMWELL FINANCIAL SERVICES INC 1992 2 1 $175,000 fines $65,173 arb 0W  1L 31  
CROP RISK INC 1995 0 0 0 0 0  
CROSSBOW CAPITAL MANAGEMENT 1999 0 0 0 0 0  
CROWFLITE CORPORATION 1994 1 0 $17,500 fine 0 2  
CROWN FUTURES CORPORATION 1991 1 0 $7500 fine 0 0  
CRYSTAL RIVER CAPITAL LLC 1997 0 0 0 0 0  
CRYSTAL TRADING CO 1988 0 0 0 0 0  
CRYSTALBALL TRADING.COM INC 2000 0 0 0 0 0  
CS TRADING 1994 0 0 0 0 0  
CULLEN JOHN NOLAN III 1999 0 0 0 0 0  
CYBER PACIFIC TRADERS INC 2000 0 0 0 0 0 no current status
CYBERCTA.COM LLC 1999 0 0 0 0 0  
CYCLONE COMMODITIES INC 2001 0 0 0 0 0  
CYF BROKERAGE 1985 0 0 0 0 0  
CYTRADE FUTURES INC 2000 0 0 0 0 0  

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