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Swenson Investments and Commodities, Inc.: NFA member charged with various violations, including of rule...

CPO/CTAs

April 1 2014

Swenson lnvestments failed to observe high standards of commercial honor and just and equitable principles of trade by treating the "hedge accounts" of certain customers ...

NFA says Spergon Wynn failed to admit to a felony offense on his registration...

CPO/CTAs

February 26 2014

Equity Swarm: This entity and principals were forced to leave the NFA, in part,...

CPO/CTAs

February 19 2014

Level III Management: Firm withdraws NFA membership, in part, for failing to comply with...

CPO/CTAs

February 13 2014

Pan Asia Investment Group, Inc.: This firm left the NFA because it did business...

CPO/CTAs

February 13 2014

Equity Swarm: Firm had to left the NFA for funnelling pool assets to itself...

CPO/CTAs

February 7 2014

Friedberg Mercantile Group, Inc.: A $30,000 settlement results from charges of making a withdrawal...

CPO/CTAs

February 4 2014

Newport Private Capital: Firm must withdraw from NFA for permitting a commodity pool to...

CPO/CTAs

February 4 2014

EXC Global Investment Management: CPO dismissed from NFA for failing to comply with regulatory...

CPO/CTAs

February 4 2014

SK Madison: Firm and principal terminated from NFA membership for failing to uphold high...

CPO/CTAs

February 4 2014

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