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 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2011 | $100,000 |
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 |
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 |
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 |
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 |
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 |
Dairy Farmers of America, Inc. | Dairy Farmers of America (DFA) | food products | investor protection violation | 2008 | $12,000,000 |
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 |
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 |
Executive Commodity Corp. | | | investor protection violation | 2008 | $23,910,000 |
Galaxy Resources 2000, LLC | | | investor protection violation | 2008 | $1,435,470 |
Supama International DMCC | | | investor protection violation | 2008 | $164,680 |
MF Global Inc. | | | investor protection violation | 2007 | $2,000,000 |
Commercial Hedge Services, Inc. | | | investor protection violation | 2007 | $325,000 |
FxTrade Financial, LLC | | | investor protection violation | 2007 | $3,466,000 |
Millenium Trading Group, LLC | | | investor protection violation | 2007 | $3,861,516 |
Worldwide Clearing, LLC | | | investor protection violation | 2007 | $3,692,516 |
Cromwell Financial Services, Inc. | | | investor protection violation | 2007 | $18,400,000 |
International Currency Exchange, Inc. | | | investor protection violation | 2007 | $1,650,000 |
Banque CIAL | | | investor protection violation | 2007 | $80,000 |
Longboat Global Funds Management | | | investor protection violation | 2007 | $10,317,183 |
New York Options Exchange, Tahoe Futures, International Energy Exchange, Vitol Capital Management,New York Petroleum Option Exchange, HPR Commodities, | | | investor protection violation | 2007 | $15,524,957 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2007 | $175,000 |
Worldwide Forex, Inc. and Worldwide Commodity Corp. | | | investor protection violation | 2007 | $4,200,000 |
American Energy Exchange and York Commodities | | | investor protection violation | 2007 | $3,652,788 |
Liberty Financial Trading Corp., Inc. and Liberty Real Assets Investment Corporation | | | investor protection violation | 2007 | $16,403,000 |
Century Maxim Fund and AJR Capital | | | investor protection violation | 2007 | $22,500,000 |
Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc. | | | investor protection violation | 2007 | $21,819,785 |
Man Financial Inc. | | | investor protection violation | 2007 | $316,900 |
Premium Income Corp. | | | investor protection violation | 2007 | $123,000,000 |
Acceleration Capital, LLC | | | investor protection violation | 2007 | $218,000 |
Falco & Stevens, Inc. | | | investor protection violation | 2007 | $4,724,607 |
Emerald Worldwide Holdings, Inc. | | | investor protection violation | 2006 | $3,433,721 |
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services | | | investor protection violation | 2006 | $19,555,041 |