January-september 2013: NFA – ALL DECISION IN DISCIPLINARY CASES

DECISION IN DISCIPLINARY CASES

August 6, 2013
Fidelity Planning Group and Terry J. Dorrity
NFA Case Number: 13BCC00006

August 6, 2013
IKON Global Markets Inc. and Diwakar Jagannath
NFA Case Number: 13BCC00004

July 24, 2013
FX Direct Dealer LLC (James E. Green)
NFA Case Number: 12BCC00021

July 18, 2013
Financial Commodity Investments and Craig Kendall
NFA Case Number: 12BCC00042

July 18, 2013
ABL Traders Trading Group LLC and Abdul Latona
NFA Case Number: 12BCC00035

July 5, 2013
Interactive Brokers LLC
NFA Case Number: 12BCC00032

July 5, 2013
Interactive Brokers LLC
NFA Case Number: 13BCC00008

June 5, 2013
Courtney D. Smith
NFA Case Number: 12BCC00041

June 5, 2013
Prodigy Asset Management LLC and Ezekiel Abdel Rahman
NFA Case Number: 13BCC00005

May 20, 2013
Mackenzie Wallace & Co. Limited
NFA Case Number: 13BCC00002

May 15, 2013
Stonehenge Asset Management LLC and Steven A. Michael
NFA Case Number: 12BCC00029

April 26, 2013
Multi Capital LLC and Charles R. Stone
NFA Case Number: 12BCC00034

April 9, 2013
Transcend Capital LLC
NFA Case Number: 12BCC00037

April 4, 2013
Perry Trading Inc. and John R. Perry
NFA Case Number: 12BCC00033

March 28, 2013
KS Global Strategies Inc. and Khaled Salama
NFA Case Number: 12BCC00040

March 21, 2013
First Quadrant LP and Kent Charles Roberts II
NFA Case Number: 13BCC00003

February 13, 2013
Richard D. Dank
NFA Case Number: 12BCC00039

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