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 |
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 |
Tenco, Inc. | | | investor protection violation | 2011 | $140,000 |
Dearborn Trading, Inc. | | | investor protection violation | 2011 | $180,000 |
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 |
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 |
Newedge USA, LLC | | | investor protection violation | 2011 | $220,000 |
Northstar International Group, Inc. | | | investor protection violation | 2011 | $11,000,000 |
Crossfire Trading, LLC | | | investor protection violation | 2011 | $84,000,000 |
Daniels Trading Group LLC | | | investor protection violation | 2011 | $2,000,000 |
Diamond Ventures LLC | | | investor protection violation | 2011 | $4,000,000 |
Forex Auto Profits, LLC | | | investor protection violation | 2011 | $2,900,000 |
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 |
Billion Coupons, Inc. | | | investor protection violation | 2010 | $6,200,000 |
TRP Advisory Group, Inc. and Traders East, Inc. | | | investor protection violation | 2010 | $150,000 |
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 |
Moore Capital Management, LP | | | investor protection violation | 2010 | $25,000,000 |
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 |
Pressio Capital Management, LP | | | investor protection violation | 2010 | $1,000,000 |
Pinemore, L.P. (Pinemore) and Birchmore, L.P. | | | investor protection violation | 2010 | $500,000 |
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 |
Cadent Financial Services LLC | | | investor protection violation | 2009 | $120,000 |
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 |
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 |
INH-Interholding SA | | | investor protection violation | 2008 | $6,075,841 |
Innovative Capital Management, LLC | | | investor protection violation | 2008 | $1,350,000 |
Linuxor Asset Management LLC | | | investor protection violation | 2008 | $200,000 |
Alliance Development Company | | | investor protection violation | 2008 | $2,200,000 |
The Liberty Mutual Group, Inc., Addison Financial Group, Inc., Addison Management Group, Inc., Hamlin Mercer Group, Inc., and Colfax Management Group, | | | investor protection violation | 2008 | $12,000,000 |
Aurifex Commodities Research Company | | | investor protection violation | 2008 | $150,000 |
4NExchange | | | investor protection violation | 2008 | $480,000 |
Mansur Capital Corporation | | | investor protection violation | 2008 | $75,000 |
Persistent Edge Management, LLC | | | investor protection violation | 2008 | $120,000 |
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 |