Bentley Equities, LLC | | | investor protection violation | 2013 | $2,700,000 |
FCStone LLC | StoneX Group | financial services | investor protection violation | 2013 | $1,500,000 |
Trade, LLC | | | investor protection violation | 2013 | $39,800,000 |
Arjent Capital Markets LLC and Chicago Trading Managers LLC | | | investor protection violation | 2013 | $1,800,000 |
MB Trading Futures Inc. | | | investor protection violation | 2013 | $200,000 |
Complete Developments, LLC and Investment International Inc. | | | investor protection violation | 2013 | $23,000,000 |
Q Wealth Management Inc. | | | investor protection violation | 2013 | $5,000,000 |
The Linn Group, Inc. | | | investor protection violation | 2013 | $400,000 |
PMC Strategy, LLC | | | investor protection violation | 2013 | $1,800,000 |
InovaTrade, Inc. | | | investor protection violation | 2013 | $38,000,000 |
National Equity Holdings, Inc. | | | investor protection violation | 2013 | $3,600,000 |
Forex Global Solutions Inc. and Forex Global Solutions Ltd. | | | investor protection violation | 2013 | $750,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2013 | $225,000 |
Summit Trading & Capital LLC | | | investor protection violation | 2013 | $4,800,000 |
VFRS LLC | | | investor protection violation | 2013 | $3,200,000 |
Joseph Glenn Commodities LLC and JGCF LLC | | | investor protection violation | 2013 | $1,000,000 |
System Capital, LLC | | | investor protection violation | 2013 | $840,000 |
MXBK Group S.A. de C.V. and MBFX S.A. | | | investor protection violation | 2013 | $57,000,000 |
Capstone FX Quantitative Analysis, Inc. and Beekeepers Fund Capital Management, LLC | | | investor protection violation | 2013 | $3,500,000 |
Madison Dean, Inc. | | | investor protection violation | 2013 | $1,400,000 |
EagleEye Asset Management | | | investor protection violation | 2013 | $600,000 |
Enskilda Futures Limited | | | investor protection violation | 2013 | $125,000 |
J. Hansen Investments, LLC | | | investor protection violation | 2013 | $1,300,000 |
Gelber Group, LLC | | | investor protection violation | 2013 | $750,000 |
GID Group, Inc. | | | investor protection violation | 2013 | $2,400,000 |
Trader's International Return Network | | | investor protection violation | 2013 | $22,800,000 |
Angus Jackson, Inc. | | | investor protection violation | 2013 | $2,800,000 |
Lincolnshire Trading Partners, LLC | | | investor protection violation | 2013 | $140,000 |
Trans Global Investments, LLC | | | investor protection violation | 2013 | $340,000 |
R.J. O'Brien & Associates, LLC | | | investor protection violation | 2013 | $300,000 |
TC Credit Service d/b/a Del-Mair Group | | | investor protection violation | 2012 | $2,600,000 |
Trigon Group, Inc. | | | investor protection violation | 2012 | $20,600,000 |
Forex Capital Trading Group, Forex Capital Trading Partners, and Highland Stone Capital Management | | | investor protection violation | 2012 | $1,800,000 |
MBF Clearing Corp. | | | investor protection violation | 2012 | $650,000 |
iGlobal Strategic Management, LLC | | | investor protection violation | 2012 | $2,000,000 |
Cantor Fitzgerald | Cantor Fitzgerald | financial services | investor protection violation | 2012 | $700,000 |
Eagle Market Makers Inc. | | | investor protection violation | 2012 | $223,000 |
Demuzio Capital Management, LLC | | | investor protection violation | 2012 | $3,000,000 |
Crabapple Capital Group LLC | | | investor protection violation | 2012 | $2,600,000 |
Lunden Forex Partners, LP, Lunden Forex Management, LLC , Black Horse Funds, LLC, Black Horse Management, LLC, and Black Horse Partners, LP | | | investor protection violation | 2012 | $1,890,000 |
Farr Financial Inc. | | | investor protection violation | 2012 | $280,000 |
GlobeFX Club, Inc. | | | investor protection violation | 2012 | $350,000 |
Midway Trading Company, LLC and Conquest Investment Group, Inc. | | | investor protection violation | 2012 | $1,400,000 |
CMA Capital Management, LLC | | | investor protection violation | 2012 | $5,500,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | financial services | investor protection violation | 2012 | $350,000 |
Sheenson Investments, Ltd. | | | investor protection violation | 2012 | $1,500,000 |
York Business Associates LLC d/b/a TransAct Futures | | | investor protection violation | 2012 | $199,000 |
Infinity Futures LLC | | | investor protection violation | 2012 | $340,000 |
ProfitStars Intl, Corp. | | | investor protection violation | 2012 | $280,000 |
Blue Sky Capital Management Corp. | | | investor protection violation | 2012 | $140,000 |
CSG Commodity Service Group | | | investor protection violation | 2012 | $1,200,000 |
SMP Bank and Epaster Investments, Ltd. | | | investor protection violation | 2012 | $980,000 |
Elsworth Berg Capital Management LLC, Elsworth Berg Inc., and Elsworth Berg FX LLC | | | investor protection violation | 2012 | $5,400,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2012 | $700,000 |
LMC Asset Management, Inc. | | | investor protection violation | 2012 | $140,000 |
Stuckey Group, L.P., Stuckey Group II, L.P. and Oakwood Development Company, L.P. | | | investor protection violation | 2012 | $250,000 |
Axcess Automation LLC and Axcess Fund Management LLC | | | investor protection violation | 2012 | $41,000,000 |
Growth Capital Management LLC | | | investor protection violation | 2012 | $9,300,000 |
The Trade Tech Institute, Inc. and Technology Trading International, Inc. | | | investor protection violation | 2012 | $15,759,357 |
Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC | | | investor protection violation | 2012 | $2,500,000 |
CDH Forex Investments, LLC and CDH Global Holdings LLC | | | investor protection violation | 2012 | $5,400,000 |
Pro Trading Course, LLC | | | investor protection violation | 2012 | $600,000 |
Open E Cry, LLC | | | investor protection violation | 2012 | $250,000 |
Prosperity Team, LLC | | | investor protection violation | 2012 | $2,600,000 |
Progressive Investment Funds LLC | | | investor protection violation | 2012 | $700,000 |
ACI Capital Group, L.L.C. | | | investor protection violation | 2012 | $850,000 |
Invers Forex, LLC | | | investor protection violation | 2012 | $4,000,000 |
International Foreign Currency | | | investor protection violation | 2012 | $4,600,000 |
Financial Instruments Ltd. | | | investor protection violation | 2012 | $140,000 |
SNC Asset Management, Inc. and SNC Investments, Inc. | | | investor protection violation | 2012 | $5,000,000 |
PassThrough Investments, LLC | | | investor protection violation | 2012 | $1,100,000 |
Forex Liquidity LLC | | | investor protection violation | 2012 | $400,000 |
Optiver Holding BV | | | investor protection violation | 2012 | $14,000,000 |
Flint-McClung Capital LLC | | | investor protection violation | 2012 | $6,000,000 |
Safeguard 3030 Investment Club | | | investor protection violation | 2012 | $3,000,000 |
Rosenthal Collins Group, LLC | | | investor protection violation | 2012 | $2,500,000 |
Total Call Group, Inc. | | | investor protection violation | 2012 | $4,800,000 |
ACJ Capital, Inc. | | | investor protection violation | 2012 | $3,700,000 |
FCStone, LLC and Commodity Operations Inc. | StoneX Group | financial services | investor protection violation | 2012 | $260,000 |
City Credit Capital, (UK) Ltd. | | | investor protection violation | 2012 | $140,000 |
Windsor Brokers, Ltd. | | | investor protection violation | 2012 | $140,000 |
Enfinium Pty Ltd | | | investor protection violation | 2012 | $80,000 |
Virtual Vision Inc. | | | investor protection violation | 2012 | $1,000,000 |
D.E. Shaw & Co. L.P. | | | investor protection violation | 2012 | $140,000 |
Centurion Global Capital Management LLC | | | investor protection violation | 2012 | $360,000 |
Newedge USA, LLC | | | investor protection violation | 2012 | $700,000 |
FXOpen Investments Inc. | | | investor protection violation | 2012 | $140,000 |
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 |