Stillwater Capital Partners, Inc. and Stillwater Capital Partners, LLC | | | investor protection violation | 2008 | $135,000 |
Foreign Fund (a/k/a First Bank) | | | investor protection violation | 2008 | $2,432,486 |
Sempra Energy Trading LLC | Sempra Energy | utilities and power generation | investor protection violation | 2008 | $175,000 |
Rosenthal Collins Group, LLC | | | investor protection violation | 2008 | $310,000 |
Philadelphia Alternative Asset Management Co. | | | investor protection violation | 2008 | $8,800,000 |
First Lexington Group | | | investor protection violation | 2008 | $2,466,063 |
Alaron Trading Corporation | | | investor protection violation | 2008 | $299,000 |
E-Metal Merchants, Inc. | | | investor protection violation | 2008 | $9,042,241 |
Forefront Investment Corporation | | | investor protection violation | 2008 | $260,000 |
Aaristo Commodities and Futures DMCC | | | investor protection violation | 2008 | $100,000 |
Rusfeldt Investments LLP | | | investor protection violation | 2008 | $2,889,071 |
Energy Transfer Partners, L.P. | Energy Transfer | pipelines | price-fixing or anti-competitive practices | 2008 | $10,000,000 |
BNP Paribas Commodity Futures, Ltd. | BNP Paribas | financial services | data submission deficiencies | 2008 | $25,000 |
Executive Commodity Corp. | | | investor protection violation | 2008 | $23,910,000 |
Galaxy Resources 2000, LLC | | | investor protection violation | 2008 | $1,435,470 |
Paradigm Capital Management LLC | | | data submission deficiencies | 2008 | $75,000 |
Supama International DMCC | | | investor protection violation | 2008 | $164,680 |
Zurich Futures and Options, Inc | | | investor protection violation | 2009 | $5,429,196 |
MF Global Inc. | | | investor protection violation | 2009 | $10,000,000 |
American Derivatives Corp. (ADC), Brokerage Management Corp., | | | investor protection violation | 2009 | $6,750,000 |
EMF Financial Products, LLC | | | investor protection violation | 2009 | $4,000,000 |
Citigroup Private Bank GP, Inc. | Citigroup | financial services | data submission deficiencies | 2009 | $100,000 |
Cadent Financial Services LLC | | | investor protection violation | 2009 | $120,000 |
J.P. Morgan Futures, Inc. | JPMorgan Chase | financial services | data submission deficiencies | 2009 | $300,000 |
Saxon Financial Services Inc. | | | investor protection violation | 2009 | $4,300,000 |
Princeton Global Management Ltd. and Princeton Economics International Ltd. | | | investor protection violation | 2009 | $27,000,000 |
Amaranth Advisors, L.L.C. and Amaranth Advisors (Calgary) ULC | | | price-fixing or anti-competitive practices | 2009 | $7,500,000 |
Safevest LLC | | | investor protection violation | 2009 | $25,000,000 |
Cocoon Trade, Inc | | | investor protection violation | 2009 | $1,542,787 |
ADM Investor Services, Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2009 | $200,000 |
Walsh Trading Inc. | | | investor protection violation | 2009 | $50,000 |
Renaissance Asset Management LLC | | | investor protection violation | 2009 | $5,800,000 |
Fortis Investment Management USA, Inc. | | | data submission deficiencies | 2009 | $75,000 |
Spring Mountain Capital G.P., LLC | | | data submission deficiencies | 2009 | $75,000 |
Spring Mountain Capital, LP | | | data submission deficiencies | 2009 | $75,000 |
UBS Fund Advisor, LLC | UBS | financial services | data submission deficiencies | 2009 | $50,000 |
Morgan Stanley Capital Group | Morgan Stanley | financial services | data submission deficiencies | 2010 | $14,000,000 |
UBS Securities | UBS | financial services | data submission deficiencies | 2010 | $200,000 |
Thirteen Thirty-Two, Inc. | | | investor protection violation | 2010 | $860,000 |
Strongbow Investments GP, LLC | | | investor protection violation | 2010 | $2,800,000 |
FX Professional International Solutions, Inc. | | | investor protection violation | 2010 | $4,000,000 |
Prestige Ventures Corporation and Federated Management Group, Inc. | | | investor protection violation | 2010 | $26,000,000 |
CRE Capital Corp. | | | investor protection violation | 2010 | $25,700,000 |
M25 Investments, Inc. and M37 Investments, LLC | | | investor protection violation | 2010 | $16,200,000 |
Trigon Group LLC | | | investor protection violation | 2010 | $41,200,000 |
Rosenthal Collins Group, L.L.C. | | | investor protection violation | 2010 | $1,300,000 |
Triland USA Inc. | | | investor protection violation | 2010 | $725,000 |
Alaron Trading Corporation | | | investor protection violation | 2010 | $260,000 |
Vitol Inc. and Vitol Capital Management Ltd. | Vitol | financial services | investor protection violation | 2010 | $6,000,000 |
Billion Coupons, Inc. | | | investor protection violation | 2010 | $6,200,000 |
TRP Advisory Group, Inc. and Traders East, Inc. | | | investor protection violation | 2010 | $150,000 |
ConAgra Trade Group, Inc. | Marubeni | diversified | investor protection violation | 2010 | $12,000,000 |
Financial Investments, Inc. | | | investor protection violation | 2010 | $130,000 |
Gage's Fertilizer & Grain, Inc. | | | investor protection violation | 2010 | $175,000 |
McCall Business Group, LLC and MBG Global, LLC | | | investor protection violation | 2010 | $3,800,000 |
Noble Americas Corp. | Vitol | financial services | investor protection violation | 2010 | $130,000 |
Moore Capital Management, LP | | | investor protection violation | 2010 | $25,000,000 |
San Diego Gas & Electric Company | Sempra Energy | utilities and power generation | investor protection violation | 2010 | $80,000 |
Lake Dow Capital LLC | | | investor protection violation | 2010 | $4,000,000 |
Guardian Futures, Inc. | | | investor protection violation | 2010 | $260,000 |
First Capitol Futures Group | | | investor protection violation | 2010 | $20,300,000 |
One World Capital Group | | | investor protection violation | 2010 | $520,000 |
UBS AG | UBS | financial services | investor protection violation | 2010 | $130,000 |
Pressio Capital Management, LP | | | investor protection violation | 2010 | $1,000,000 |
Scotia Capital Inc. | Scotiabank | financial services | investor protection violation | 2010 | $250,000 |
Pinemore, L.P. (Pinemore) and Birchmore, L.P. | | | investor protection violation | 2010 | $500,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2011 | $350,000 |
JG Forex Fund | | | investor protection violation | 2011 | $1,400,000 |
Midwest Land & Livestock, Inc., SKV Farms Inc. and DCV Farms, Inc. | | | investor protection violation | 2011 | $382,000 |
Enskilda Futures Ltd. | | | investor protection violation | 2011 | $150,000 |
JadeFX, LTD and Jade Investments Group, LLC | | | investor protection violation | 2011 | $2,600,000 |
Francis Grant Investments Inc. | | | investor protection violation | 2011 | $500,000 |
Velocity Futures, LLC | | | investor protection violation | 2011 | $180,000 |
Cyber Market Group LLC | | | investor protection violation | 2011 | $500,000 |
First Capital Savings and Loan | | | investor protection violation | 2011 | $4,500,000 |
Queen Shoals, LLC, Queen Shoals II, LLC, and Select Fund, LLC | | | investor protection violation | 2011 | $24,000,000 |
Integra Capital Management, LLC | | | investor protection violation | 2011 | $6,900,000 |
Barki LLC | | | investor protection violation | 2011 | $40,904,000 |
CRW Management LP | | | investor protection violation | 2011 | $19,000,000 |
Forex Capital Markets LLC | Jefferies Financial Group | diversified | investor protection violation | 2011 | $14,200,000 |
Tenco, Inc. | | | investor protection violation | 2011 | $140,000 |
Dearborn Trading, Inc. | | | investor protection violation | 2011 | $180,000 |
Forex Capital Markets Ltd. | Jefferies Financial Group | diversified | investor protection violation | 2011 | $140,000 |
New Golden Investment Group | | | investor protection violation | 2011 | $8,000,000 |
Lodge Capital Group, LLC | | | investor protection violation | 2011 | $825,000 |
Longbranch Group International LLC | | | investor protection violation | 2011 | $2,000,000 |
Ecoval Dairy Trade, Inc. | | | investor protection violation | 2011 | $1,425,000 |
ForInvest Group | | | investor protection violation | 2011 | $280,000 |
Capital Blu Management, LLC | | | investor protection violation | 2011 | $17,000,000 |
Raleigh Capital Management, Inc. | | | investor protection violation | 2011 | $4,000,000 |
Cadent Financial Services LLC | | | investor protection violation | 2011 | $125,000 |
FX Trading, LLC | | | investor protection violation | 2011 | $110,000 |
Winell Associates, Inc. and Maxie Partners GP, LLC | | | investor protection violation | 2011 | $5,200,000 |
Liquid Capital Management, LLC | | | investor protection violation | 2011 | $12,000,000 |
C & R Financial, Inc. | | | investor protection violation | 2011 | $5,350,000 |
Bunge Global Markets, Inc. | Bunge | agribusiness | investor protection violation | 2011 | $550,000 |
Brookshire Raw Materials Management, LLC | | | investor protection violation | 2011 | $15,800,000 |
Yellowstone Partners, Inc. | | | investor protection violation | 2011 | $1,600,000 |
Centurion Asset Management, Inc. | | | investor protection violation | 2011 | $49,700,000 |
Forward Investment Group, LLC | | | investor protection violation | 2011 | $46,900,000 |
Jeff Shalhoub Investments | | | investor protection violation | 2011 | $700,000 |