NFA

JP Morgan Clearing failed to instruct its depository, JP Morgan Bank N.A., to report to NFA - through NFA's daily confirmation system -- the balances ...

The complaint states the defendant directed examiners to meet at an apartment building: "!n speaking to the building manager, the exam team learned that Mozhayski ...

Lei Li was absent from the firm the entire time that the exam team was at the firm performing fieldwork, which left the firm's APs ...

The Complaint charged that Chazon and Fejokwu violated NFA Compliance Rule 2-5 by failing to cooperate promptly and fully with NFA during the course of ...

The conditions become effective on February 25, 2015 and remain in effect for two years at which time the conditions will automatically expire.

(a) Time to file. Any party aggrieved by a final decision of the National Futures Association in a member responsibility action may, within thirty days ...

Each person registered as an introducing broker, commodity pool operator, or commodity trading advisor must become and remain a member of at least one futures ...