| |
Last Reg. |
Regulatory |
NFA |
Fines, Actions or |
|
CFTC |
Registered Unless |
| FIRM NAME |
From… |
Actions |
Arbitrations |
Arbitration Awards |
Win / Loss |
Rep Cases |
Specified |
| ILLINI COMMODITIES CO |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| ILLINI MARKETING SERVICES INC |
1987 |
0 |
0 |
0 |
0 |
0 |
|
| ILLINOIS COMMODITIES CORP |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| IMPACT FINANCIAL CORP |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| IMPERIAL CAPITAL GROUP INC |
2001 |
0 |
0 |
0 |
0 |
0 |
no current status |
| IMS BROKERAGE SERVICES LLC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| INDEX ADVISOR & CO LLC |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| INDEX MANAGEMENT AG |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| INFINI CAPITAL INVESTMENT INC |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| INFINITY FUTURES INC IL |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| INFLECTION BROKERAGE SERVICES LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| ING BARINGS LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| INSIGHT FINANCIAL GROUP INC |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| INSTINET FIXED INCOME INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| INSTITUTIONAL ADVISORY SERVICES GROUP |
1992 |
0 |
0 |
0 |
0 |
1 |
|
| INSTITUTIONAL DERIV CONSULTANTS LLC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| INTEGRATED BROKERAGE SERVICES INC |
1991 |
0 |
0 |
0 |
0 |
2 |
|
| INTEGRITY FUTURES |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| INTERALLIANCE USA LTD |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| INTERCONTINENTAL ASSET MGMT GRP LTD |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| INTERMARKET BROKERAGE LLC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| INTERNATIONAL FINANCIAL ARBITRAGE |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| INTERNATIONAL FUND MARKETING LTD |
1995 |
0 |
0 |
0 |
0 |
0 |
|
| INTERNATIONAL FUTURES GROUP INC |
1994 |
0 |
0 |
0 |
0 |
1 |
|
| INTERNATIONAL FUTURES INC |
1998 |
1 |
1 |
$20,000 fine |
1W 0L |
0 |
|
| INTERNATIONAL INVESTORS CORP |
2001 |
0 |
0 |
0 |
0 |
0 |
|
| INTERNATIONAL STRATEGIC ASSETS INC |
2000 |
0 |
0 |
0 |
0 |
0 |
no current status |
| INTERSTATE BROKERAGE |
1993 |
0 |
0 |
0 |
0 |
0 |
|
| INTERSTATE COMMODITIES |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| INTERSTATE FUTURES INC |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| INTL TRADING CORP OF THE PALM BEACHES |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| INTRO COMMODITIES INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| INTRODUCING BROKERS ALLIANCE INC |
1997 |
0 |
0 |
0 |
0 |
0 |
|
| INVESTMENT ANALYSIS GROUP INC |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| INVESTMENT PLACEMENT COMMODITIES CO |
1985 |
0 |
0 |
0 |
0 |
0 |
|
| INVESTMENT SERVICES INTERNATIONAL |
1998 |
0 |
0 |
0 |
0 |
1 |
|
| INVESTMENT TRADING SERVICES |
1996 |
0 |
0 |
0 |
0 |
1 |
|
| INVESTOR ONE FINANCIAL CORP |
2001 |
0 |
0 |
0 |
0 |
0 |
no current status |
| INVESTORS COMMODITY SERVICES |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| INVESTORS REFERRAL SERVICE INC |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| INVESTORS SERVICES |
1997 |
0 |
0 |
0 |
0 |
0 |
no current status |
| INVESTORS TRADING GROUP LC |
1997 |
0 |
0 |
0 |
0 |
7 |
|
| INVEX INC |
1996 |
0 |
0 |
0 |
0 |
0 |
|
| IOLE ENTERPRISES INC |
1982 |
0 |
0 |
0 |
0 |
0 |
|
| IOWA CAPITAL MANAGEMENT INC |
1994 |
0 |
0 |
0 |
0 |
0 |
|
| IOWA COMMODITIES LTD |
1984 |
0 |
0 |
0 |
0 |
0 |
|
| IOWA FUTURES CORP |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| IRA EPSTEIN & COMPANY |
1984 |
0 |
9 |
$5,001 arb |
4W 5L |
35 |
|
| IRON HORSE TRADING PARTNERS |
2000 |
0 |
0 |
0 |
0 |
0 |
|
| IRVINE TRADING |
1999 |
0 |
0 |
0 |
0 |
0 |
|
| ITG INC |
1992 |
0 |
0 |
0 |
0 |
0 |
|
| IVY FINANCIAL |
2000 |
0 |
0 |
0 |
0 |
1 |
|
