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BROKER'S COMPLAINT HISTORY LIST - U's

  Last Reg. Regulatory NFA Fines, Actions or   CFTC Registered Unless
FIRM NAME From… Actions Arbitrations Arbitration Awards Win / Loss Rep Cases Specified
U WIN INVESTMENT INC 1989 0 0 0 0 0  
UBS PAINEWEBBER INCORP OF PUERTO RICO 1991 0 0 0 0 0  
UNION BROKERAGE CO INC 1994 0 0 0 0 0  
UNITED BROKERAGE 2001 0 0 0 0 0  
UNITED COMMODITY TRADERS INC 2001 0 0 0 0 0  
UNITED ENERGY INC 1985 0 0 0 0 0  
UNITED FINANCIAL TRADING CORP 1999 0 0 0 0 0  
UNITED FUTURES GROUP INC 2001 0 0 0 0 0  
UNITED FUTURES TRADING COMPANY INC 1997 0 0 0 0 0  
UNIVERSAL COMMODITIES LTD 1984 1 0 $2,000 fine 0 0  
UOT FINANCIAL SERVICES LLC 1999 0 0 0 0 0  
URSA BROKERAGE INC 1999 0 0 0 0 0  
US COMMODITIES GROUP INC 1999 0 0 0 0 1  
US COMMODITIES INC 1987 0 0 0 0 2  
US FUTURES & OPTIONS LLC 1998 0 0 0 0 0  
US INVESTMENT GROUP INC 2001 0 0 0 0 0  
US OPTIONS CORP 1996 1 0 Pending 0 2  
UTRADE COM INC 1999 0 0 0 0 1  
UTTERBACK MARKETING SERVICES INC 1991 0 0 0 0 0  

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