Month: June 2011
NFA fines Chicago firm Brewer Futures Group LLC
National Futures Association (NFA) has fined Brewer Futures Group LLC (BFG) and its principal, Steven J. Brewer $100,000. BFG is an...
NFA takes an emergency enforcement action against IAG
National Futures Association (NFA) announced that it has taken an emergency enforcement action against IAG Capital Management, LLC (IAG),...
NFA revokes registration of several associated persons
National Futures Association (NFA) has revoked the registrations of Jeremy J. Grena, Nabil P. Niman, Nicholas P. Payne, William M. Rill and...
Emmet & Co Inc. fined by FINRA
Emmet & Co., Inc. (CRD #15993, Far Hills, New Jersey) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...
D. Weckstein & Co., Inc. fined by FINRA
D. Weckstein & Co., Inc. (CRD #20338, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the...
Omni Brokerage to close.
According to the Investment News, Omni Brokerage Inc., based in South Jordan, Utah, said at the end of April it would withdraw its...
