PGS Capital Wealth Management of Sherman Oaks, California, PGS Capital Credit, Inc. | | | investor protection violation | 2014 | $462,727 |
Rockwell Asset Management, Inc. | | | investor protection violation | 2014 | $477,210 |
Capital Market Services, LLC | | | investor protection violation | 2014 | $275,000 |
Newbridge Alliance, Inc. and United States Capital Trust, LLC | | | investor protection violation | 2014 | $3,381,179 |
New Century Investment Management LLC | | | investor protection violation | 2014 | $5,700,000 |
Queen Shoals Consultants, LLC | | | investor protection violation | 2014 | $5,760,000 |
Global Strategic Marketing, Inc. | | | investor protection violation | 2014 | $2,292,798 |
Oxford Capital | | | investor protection violation | 2014 | $3,519,309 |
Altamont Global Partners LLC | | | investor protection violation | 2014 | $15,800,000 |
Worth Asset Management | | | investor protection violation | 2014 | $6,200,000 |
Harbor Light Asset Management | | | investor protection violation | 2014 | $5,200,000 |
Elite Management Holdings Corp. and MJM Enterprises LLC | | | investor protection violation | 2014 | $10,000,000 |
Lloyds Commodities, LLC | | | investor protection violation | 2014 | $5,000,000 |
CTI Group LLC and Cooper Trading | | | investor protection violation | 2014 | $29,000,000 |
Multigrain SA and Agricola Xingu SA | | | investor protection violation | 2014 | $500,000 |
New World Holdings LLC | | | investor protection violation | 2014 | $50,000 |
SHK Management LLC | | | investor protection violation | 2013 | $400,000 |
FXDirectDealer, LLC | | | investor protection violation | 2013 | $275,000 |
R.J. O'Brien & Associates LLC | | | investor protection violation | 2013 | $125,000 |
Vision Financial Markets LLC | | | investor protection violation | 2013 | $525,000 |
iFinix Futures, Inc. | | | investor protection violation | 2013 | $1,260,000 |
Vision Financial Markets LLC | | | investor protection violation | 2013 | $140,000 |
Newbridge Metals, LLC | | | investor protection violation | 2013 | $1,500,000 |
Foremost Trading LLC | | | investor protection violation | 2013 | $400,000 |
FXDirectDealer, LLC | | | investor protection violation | 2013 | $2,740,000 |
Paramount Management, LLC | | | investor protection violation | 2013 | $2,400,000 |
London Metals Market LLC | | | investor protection violation | 2013 | $121,000 |
The Borrowing Station, LLC | | | investor protection violation | 2013 | $600,000 |
Velocity Futures, LLC | | | investor protection violation | 2013 | $300,000 |
Global Precious Metals Trading Company | | | investor protection violation | 2013 | $2,200,000 |
Pan American Metals of Miami and Pan American Metals of Miami Beach | | | investor protection violation | 2013 | $4,700,000 |
Panther Energy Trading LLC | | | investor protection violation | 2013 | $2,800,000 |
Alpha Trade Group S.A. | | | investor protection violation | 2013 | $5,779,000 |
Prestige Capital Advisors and D2W Capital Management | | | investor protection violation | 2013 | $11,700,000 |
ACJ Capital Inc., and Solid View Capital LLC | | | investor protection violation | 2013 | $1,500,000 |
Bentley Equities, LLC | | | investor protection violation | 2013 | $2,700,000 |
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 |
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 |
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 |
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 |
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 |