Monthly Archives: February 2017

United Global Markets LLC Fined $40,000 by the National Futures Association

Reason: violating NFA Financial Requirements Section 11(a) by failing to maintain the required adjusted net capital, as prescribed thereinDate: 13/08/2007Amount: 40000.00Link: http://www.nfa.futures.org/basicnet/CaseDocument.aspx?seqnum=1291

Read More »

OPPORTUNITIES IN OPTIONS, THOMAS H. FRANKEL, JUAN CORONEL MARTINEZ MILLER, DEWITT DUDLEY and JESSE D. SEIDEL reach a settlement $50000.00 with the National Futures Association

Reason: violation of NFA Compliance Rules 2-2(a) and2-29(a)(1)Date: 11/08/2010Amount: 50000.00Link: http://www.nfa.futures.org/basicnet/CaseDocument.aspx?seqnum=2504

Read More »