| |
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 |
|
