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BROKER'S COMPLAINT HISTORY LIST - S's

  Last Reg. Regulatory NFA Fines, Actions or   CFTC Registered Unless
FIRM NAME From… Actions Arbitrations Arbitration Awards Win / Loss Rep Cases Specified
S FUTURES 2000 0 0 0 0 0  
S&H MARKETING INCORPORATED 1986 0 0 0 0 0  
SADDLE RIVER FUTURES TRADING GROUP INC 1997 0 0 0 0 0 no current status
SAINT CLOUD FUTURES 1995 0 0 0 0 0 no current status
SAMSON INC 2001 0 0 0 0 0  
SAN ANTONIO COMMODITIES 1994 0 0 0 0 0  
SAND BURR TRADING 2001 0 0 0 0 0  
SANDERS COMMODITIES 1986 0 0 0 0 0  
SARGENT MICHAEL GEOFFREY 2000 0 0 0 0 0 no current status
SAVVY TRADE INC 2001 0 0 0 0 0  
SAVVY TRADING CO 1989 0 0 0 0 0  
SAWGRASS FINANCIAL GROUP INC 1994 0 0 0 0 1  
SAWTOOTH DISCOUNT FUTURES 1990 0 0 0 0 0  
SCECAP CORPORATION 1989 0 0 0 0 0  
SCHILD ASSET MANAGEMENT INC 1993 0 0 0 0 0  
SCHLABS & HYSINGER COMMODITY SERVICES 1981 0 0 0 0 0  
SCHMALE FEED & SUPPLY INC 1985 0 0 0 0 0  
SCHNEIDERMAN ARTHUR 1999 0 0 0 0 0  
SCHOFF & BAXTER INC 1984 0 0 0 0 0  
SCHOON TRADING COMPANY 1991 0 0 0 0 0  
SCHWIETERMAN INC 1988 0 1 0 1W   0L 0  
SCI 1995 0 0 0 0 0  
SCIOTA TRADING LTD 1995 0 0 0 0 0  
SEAMANS INVESTMENTS INC 1987 0 0 0 0 0  
SECTOR FINANCIAL SERVICES LLC 1998 0 0 0 0 0 no current status
SECURE AMERICAN TRADING LLC 2000 0 0 0 0 0  
SECURITIES AMERICA INC 1999 0 0 0 0 0  
SEELEY ROBERT MAURICE 1996 0 0 0 0 0  
SENTINEL FUTURES 1991 0 0 0 0 0 no current status
SENTRA SECURITIES CORPORATION 1984 0 0 0 0 0  
SEYMOUR JEFFREY LIONEL 2001 0 0 0 0 0  
SHAMROCK PARTNERS INC 1991 0 0 0 0 0  
SHEFFIELD CAPITAL MANAGEMENT 1998 0 0 0 0 0  
SHELDON COMMODITIES INC 1995 0 0 0 0 0  
SHERRY EVETTE N 2000 0 0 0 0 0 no current status
SHERWOOD FUTURES GROUP INC 1994 0 0 0 0 0 no current status
SHOCKLEY INVESTMENT CO 1988 0 0 0 0 0  
SHORELINE INTERNATIONAL LLC 1996 0 0 0 0 0  
SHURTZ COMMODITY TRADING INC 1984 0 0 0 0 0  
SIERRA CAPITAL MANAGEMENT LLC 2000 0 0 0 0 0  
SIERRA MESA TRADING 1997 0 0 0 0 0  
SILICON VALLEY SECURITIES 1993 0 0 0 0 0  
SILVER CROWN COMMODITIES CORP 2001 0 0 0 0 0  
SILVERMAN MICHAEL ALLAN 1991 0 0 0 0 0  
SINGLE PINE INC 1988 0 0 0 0 0  
SINTA COMMODITIES SERVICE CO 1992 0 0 0 0 0  
SIONS GROUPE INTERNATIONAL INC 1995 0 0 0 0 1  
SKY COMMODITIES RLLP 2000 0 0 0 0 0  
SKYHIGH STOCKS & FUTURES 1998 0 0 0 0 0 no current status
SLAUGHTER DEREK JAY 1997 0 0 0 0 0 no current status
SLEZAK GEORGE JOHN 1999 0 0 0 0 1  
SLIPKA TRADING CORP 1994 0 0 0 0 0  
SMART FUTURES LLC 2000 0 0 0 0 0  
SMART TRADES INC 1998 0 0 0 0 0  
SMITHTOWN COMMODITIES LLC 2000 0 0 0 0 0  
SNAKE RIVER TRADING COMPANY 1984 0 0 0 0 0  
SNR FINANCIAL 2001 0 0 0 0 0  
SOCIETE GENERALE NEW YORK BRANCH 2000 0 0 0 0 0  
SOCKEYE TRADING 1999 0 0 0 0 0  
SOGEMIN METALS INC 1990 1 0 $500,000 fine 0 0 no current status
SOL RICH & COMPANY 1982 0 0 0 0 0  
SOLOMON SMITH INC 1999 0 0 0 0 0 no current status
SORENSEN-YAGGIE COMMODITIES INC 1997 0 0 0 0 0  
SOUTH FUTURES LIMITED 1996 0 0 0 0 0  
SOUTH SHORE TRADING AND HEDGING INC 1995 1 0 $5,000 fine 0 0  
SOUTHEAST COMMODITIES CORP 1998 0 0 0 0 0  
SOUTHWEST COMMODITIES 1990 0 0 0 0 0  
SOUTHWEST COMMODITIES INC 1990 0 0 0 0 0  
SOUTHWEST FINANCIAL SERVICES 1994 0 0 0 0 0  
SOUTHWEST FUTURES 1998 0 0 0 0 0  
SOUTHWEST FUTURES INC 1992 0 0 0 0 0  
SOUTHWEST SECURITIES INC 1983 0 0 0 0 0  
SOUTHWICK INVESTMENTS INC 1994 0 0 0 0 0 no current status
SOVEREIGN CAPITAL MANAGEMENT INC 1999 0 0 0 0 0 no current status
SPARKS CAPITAL CORPORATION 1994 0 0 0 0 0  
SPARKS GROUP FUTURES TRADING 2000 0 0 0 0 0  
SPECTRUM ASSET MANAGEMENT INC 1986 0 0 0 0 0  
SPECTRUM COMMODITIES 1988 0 0 0 0 0  
SPEER COMMODITY FUTURES 1995 0 0 0 0 0  
SPELMAN & CO INC 1996 0 0 0 0 0  
SPITZACK MAYNARD ALBERT 1990 0 0 0 0 0  
SPOOZ PUBLISHING GROUP INC 1997 0 0 0 0 0  
STA TRADING SERVICES CORP 1993 0 0 0 0 0  
STABLE INVESTMENTS 1989 0 0 0 0 0  
STAFF USA INC 1996 0 0 0 0 0  
STANDARD NEW YORK SECURITIES INC 1995 0 0 0 0 0  
STANFORD GROUP COMPANY 1995 0 0 0 0 0  
STARBOARD CAPITAL MARKETS INC 1997 0 0 0 0 0  
STATE STREET CAPITAL MARKETS LLC 2000 0 0 0 0 0  
STATEWIDE TRADING CORPORATION 1987 0 0 0 0 6  
STATON COMMODITIES 1988 0 0 0 0 0  
STEBEN & COMPANY INC 1989 0 0 0 0 0  
STERLING COMMODITIES TRADING INC 1999 0 0 0 0 0  
STERLING EQUITY INC 2000 0 0 0 0 0 no current status
STERLING FINANCIAL INVESTMENT GROUP INC 1998 0 0 0 0 0  
STERLING FUTURES 1984 0 0 0 0 0  
STERLING SMITH CORPORATION 1995 0 0 0 0 0  
STERLING TRADING COMPANY 1995 0 0 0 0 0  
STEWART-MILLER FUTURES LTD 1984 0 0 0 0 0  
STEWART-PETERSON GROUP INC 1985 0 0 0 0 0  
STIFEL NICOLAUS & CO INC 1984 0 0 0 0 0  
STILES TRADING 1997 0 0 0 0 0  
STRATEGIC FOCUS GROUP INC 2000 0 0 0 0 0  
STRATEGIC FUTURES AND OPTIONS INC 2001 0 0 0 0 0  
STRATEGIC WORLDWIDE LLC 1999 0 0 0 0 0  
STRIKER SECURITIES INC 1997 0 0 0 0 0  
STROME SECURITIES LP 1994 0 0 0 0 0  
STRUCTURE TRADING 2001 0 0 0 0 0  
STUART FINANCIAL GROUP INTERNATIONAL INC 1999 0 0 0 0 0  
STUART TRADING COMPANY 1985 0 0 0 0 0  
SUE'S COMMODITIES 1985 0 0 0 0 0  
SUMMIT CAPITAL GROUP LLC 1999 0 0 0 0 0  
SUMMIT FINANCIAL INVESTMENTS INC 1999 0 0 0 0 0  
SUN COAST COMMODITIES INC 1995 0 0 0 0 0  
SUNSTATE FUTURES INC 2001 0 0 0 0 0  
SUPER FUND FINANCIAL GROUP INC 1984 1 0 $50,000 fine 0 9  
SUPERIOR COMMODITIES INCORPORATED 1987 0 0 0 0 0  
SUTRO & CO INCORPORATED 1983 0 0 0 0 0  
SWARTS BROKERAGE 1986 0 0 0 0 1  
SWISS FINANCIAL SERVICES INC 1986 2 0 $5,000 fine 0 11  
SYMMETRY PARTNERS LLC 1993 0 0 0 0 0  
SYSTEMBROKER 2000 0 0 0 0 0  
SYTEK 1998 0 0 0 0 0  

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