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By Press Release |
December 7, 2012
The National Futures Association (NFA) has ordered FX Direct Dealer, LLC (FXDD) to either post a bond or place funds in an escrow account to ensure that the firm can meet its obligations under any restitution order that may result from a related NFA disciplinary action.
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By Press Release |
November 19, 2012
The National Futures Association has taken an emergency enforcement action against KS Global Strategies Inc., a commodity trading advisor in Larkspur, Calif.
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By Press Release |
July 9, 2012
The National Futures Association posted the following press release saying, "NFA has reason to believe that PFG does not have sufficient assets to meet its obligations to its customers."
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By Press Release |
June 12, 2012
The NFA says that L3M and principal Bruce Gwyn misappropriated investors' funds and misled customers regarding the value of their investments.
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By Press Release |
October 20, 2011
The NFA says the principal commingled the firm's pool assets with the firm's assets and used pool assets to fund his own personal expenses.
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By Press Release |
August 19, 2011
NFA says that IFINIX's principal Benhope Munroe created fabricated bank statements in a deliberate attempt to deceive NFA regarding the firm's deficient capital position.
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By Press Release |
June 22, 2011
The NFA says that D2W Capital Management, Prestige Capital Advisors and principal Toby Hunter solicited potential customers with false and misleading performance information.
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By Press Release |
April 26, 2011
The National Futures Association says Leon Wolmarans and his firm solicited investors with deceptive performance claims.
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By Press Release |
March 31, 2011
The NFA says that Paron Capital Management and its principal solicited customers using promotional material that contained false and misleading performance.
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By Press Release |
March 14, 2011
NFA says it believes that Trade Dock Capital and Da'Cruz solicited prospective customers with false and misleading information.
