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BROKER'S COMPLAINT HISTORY LIST - E's

  Last Reg. Regulatory NFA Fines, Actions or   CFTC Registered Unless
FIRM NAME From… Actions Arbitrations Arbitration Awards Win / Loss Rep Cases Specified
E INVESTOR SERVICES INC 1999 0 0 0 0 0  
E STREET TRADING LLC 2000 0 0 0 0 0  
E TRADE INSTITUTIONAL SECURITIES INC 1993 0 0 0 0 0  
EAGLE TRADE 2000 0 0 0 0 0  
EAGLE TRADING 1990 0 1 $137,500 arb 0W  1L 1  
EASTERN FUTURES INCORPORATED 1987 0 0 0 0 0  
EASTERN IOWA COMMODITIES INC 1985 0 0 0 0 0  
EDWARD R FLOREZ MANAGED ACCOUNTS 1984 0 0 0 0 0  
EDWARD THOMAS TRADING CO 1992 0 1 0 1W  0L 6  
EFG GROUP LLC 1992 0 0 0 0 3  
EFUTURES GROUP INC 2000 0 0 0 0 0 no current status
EFX COMMODITY TRADING GROUP 1999 0 0 0 0 0 no current status
EGLOBAL TRADING CO 2000 0 0 0 0 0  
E-HEDGER 1999 0 0 0 0 0  
EIGER INTERNATIONAL INC 1984 1 0 $15,000  fine 0 1  
EIM SECURITIES USA INC 1996 0 0 0 0 0  
ELBURN RISK MANAGEMENT 1999 0 0 0 0 0  
ELOCAL LLC 2000 0 0 0 0 0  
EMBASSY TRADING GROUP INC 1994 1 0 $5,000 fine 0 1 no current status
EMCOR SECURITIES INC 1999 0 0 0 0 0  
EMERALD COAST COMMODITIES INC 1999 0 0 0 0 0  
EMERY COMMODITIES INC 1989 0 0 0 0 0  
EMPIRE ASSET MANAGEMENT 2000 0 0 0 0 2  
EMPIRE ENTERPRISES LTD 1999 0 0 0 0 0  
EMPIRE FINANCIAL GROUP LLC 2001 0 0 0 0 0  
EMPIRE MANAGED INVESTMENTS 2000 0 0 0 0 0  
ENERGEX INTRODUCING BROKERS INC 1995 0 0 0 0 1 no current status
ENERGY OPTIONS CONSULTANTS INC 2001 0 0 0 0 0  
ENSKILDA SECURITIES INC 1992 0 0 0 0 0  
EQUIDEX BROKERAGE GROUP INC 1985 1 0 $1,500 fine 0 1  
EREFCO.COM INC 1996 0 0 0 0 0  
EROOM SECURITIES LLC 2000 0 0 0 0 0  
ESCAMILLA COMMODITY INVESTMENTS 1998 0 0 0 0 0  
ESSEX FUTURES 2000 0 0 0 0 0  
ETG INC 2000 0 0 0 0 0  
EURAMCO TRADING INC 1990 0 0 0 0 0  
EURO AMERICAN FUTURES LLC 2000 0 0 0 0 0  
EVERGREEN FUTURES 1991 0 0 0 0 0 no current status
EXCEL FUTURES INC 1998 0 0 0 0 1  
EXCELLENT USA INC 1990 2 0 Registration Revoked 0 0 no current status
EXCELSIOR CORPORATION 1991 0 0 0 0 0  
EXECUTIVE COMMODITY CORP 1999 0 0 0 0 3  
EXETER INTERNATIONAL LLC 2000 0 0 0 0 0 no current status
EXPRESS FUTURES INC 2000 0 0 0 0 0  

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