Regulatory blacklist
National Futures Association(NFA)
National Futures Association (NFA) is the industrywide, self-regulatory organization for the U.S. derivatives industry, providing innovative and effective regulatory programs. Designated by the CFTC as a registered futures association, NFA strives every day to safeguard the integrity of the derivatives markets, protect investors and ensure Members meet their regulatory responsibilities.
STAGE FIVE
SanctionFine
2022-11-09
TF4L
SanctionFine
2022-11-09
Sierra Futures
SanctionFine
2022-11-09
Direct Hedge
SanctionFine
2022-09-06
InteractiveBrokers
SanctionFine
2022-04-14
Coquest
SanctionFine
2022-03-30
Edealfx
SanctionPermanent cessation of business / revocation of license
2022-03-30
MAREX
SanctionFine
2022-03-30
FIS
SanctionFine
2021-10-28
ED&F Man
SanctionFine
2021-09-16
Tullett Prebon
SanctionFine
2021-08-05
Northern Trust
SanctionFine
2021-06-29
Abbott Futures
SanctionFine
2021-05-20
NinjaTrader
SanctionFine
2020-11-05
YORK FINANCE
SanctionFine
2020-11-05
Bainbridge
SanctionPermanent cessation of business / revocation of license
2020-06-01
Fortress Capital
SanctionTemporarily closed
2019-09-20
Latest regulatory disclosures
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