Blacklist - National Futures Association(NFA)

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Global Broker Regulation Inquiry App

National Futures Association(NFA) -
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Domestic Regulation

OANDA

United States

Environment

AAA

NFA Forex Trading License (EP)

Regulated

Above 20 yearsRegulated in AustraliaRegulated in JapanRegulated in United KingdomRegulated in United StatesRegulated in CanadaRegulated in SingaporeRegulated in The Virgin IslandsDerivatives Trading License (MM)Forex Trading License (EP)Derivatives Trading License (EP)Market Making License (MM)MT4 Full LicenseMT5 Full LicenseSelf-developedGlobal BusinessHigh potential riskOffshore Regulated

Regulatory License Number：0325821

8.30

Score

Domestic Regulation

FOREX.com

United States

Environment

AAA

NFA Forex Trading License (EP)

Regulated

ListedAbove 20 yearsRegulated in AustraliaRegulated in JapanRegulated in United StatesRegulated in CyprusRegulated in CanadaRegulated in United KingdomRegulated in SingaporeForex Trading License (EP)Derivatives Trading License (EP)Market Making License (MM)MT4 Full LicenseMT5 Full LicenseSelf-developedGlobal BusinessHigh potential risk

Regulatory License Number：0339826

8.27

Score

Domestic Regulation

InteractiveBrokers

Hong Kong

NFA Derivatives Trading License (AGN)

Regulated

ListedAbove 20 yearsRegulated in AustraliaRegulated in United KingdomRegulated in JapanRegulated in Hong KongRegulated in CanadaRegulated in United StatesMarket Making License (MM)Market Making License (MM)Derivatives Trading License (EP)Derivatives Trading License (AGN)Self-developedGlobal BusinessAustralia Forex Execution License (STP) RevokedHong Kong Market Making License (MM) RevokedHigh potential risk

Regulatory License Number：0258600

8.14

Score

Domestic Regulation

TIGER BROKERS

Hong Kong

Listed5-10 yearsRegulated in Hong KongRegulated in AustraliaDerivatives Trading License (AGN)Forex Execution License (STP)Self-developedRegional BrokersMedium potential risk

No valid regulatory information

7.46

Score

Domestic Regulation

Sigma

United Kingdom

5-10 yearsRegulated in United KingdomRegulated in United Arab EmiratesInst Market Making (MM)Derivatives Trading License (MM)Suspicious Scope of BusinessMedium potential risk

No valid regulatory information

7.42

Score

Domestic Regulation

Mitsui Bussan Commodities

United Kingdom

15-20 yearsRegulated in United KingdomInst Market Making (MM)Suspicious Scope of BusinessMedium potential risk

No valid regulatory information

7.17

Score

Domestic Regulation

TRADERBEAT

United States

NFA Business Registration License (BR)

General Registration

2-5 yearsRegulated in United StatesBusiness Registration License (BR)

Regulatory License Number：20211360009

7.04

Score

Domestic Regulation

Just2Trade

Cyprus

Environment

NFA Derivatives Trading License (AGN)

Regulated

ECN10-15 yearsRegulated in CyprusRegulated in United StatesMarket Making License (MM)Derivatives Trading License (AGN)MT4 Full LicenseMT5 Full LicenseRegional BrokersHigh potential risk

Regulatory License Number：0430385

6.96

Score

Domestic Regulation

DJCIN

United States

NFA Business Registration License (BR)

General Registration

1-2 yearsRegulated in United StatesBusiness Registration License (BR)Self-developed

Regulatory License Number：20211679478

6.95

Score

Domestic Regulation

SHTNE

United States

NFA Business Registration License (BR)

General Registration

2-5 yearsRegulated in United StatesBusiness Registration License (BR)

Regulatory License Number：20201344281

6.93

Score

STAGE FIVE

Fine

announcement date:

2022-11-09

TF4L

Fine

announcement date:

2022-11-09

Sierra Futures

Fine

announcement date:

2022-11-09

Direct Hedge

Fine

announcement date:

2022-09-06

Coquest

Fine

announcement date:

2022-03-30

Edealfx

Permanent cessation of business / revocation of license

announcement date:

2022-03-30

MAREX

Fine

announcement date:

2022-03-30

FIS

Fine

announcement date:

2021-10-28

ED&F Man

Fine

announcement date:

2021-09-16

Tullett Prebon

Fine

announcement date:

2021-08-05

Northern Trust

Fine

announcement date:

2021-06-29

Abbott Futures

Fine

announcement date:

2021-05-20

NINJATRADER

Fine

announcement date:

2020-11-05

YORK FINANCE

Fine

announcement date:

2020-11-05

Bainbridge

Permanent cessation of business / revocation of license

announcement date:

2020-06-01

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All
Warning
Danger
Sanction

Sanction

2022-11-09

NFA orders Chicago, Ill. introducing broker Stage 5 Trading Corp. to pay a $75,000 fine

Sierra Futures

TF4L

Sanction

2022-09-06

NFA orders Denmark firm Direct Hedge Danmark Fondsmaeglerselskab AS to pay a $70,000 fine

Direct Hedge

Sanction

2022-04-14

NFA orders Connecticut-based Interactive Brokers LLC to pay a $250,000 fine

InteractiveBrokers

Sanction

2022-03-30

NFA orders London, U.K. introducing broker Marex Spectron International Limited to pay a $250,000 fine

MAREX

Sanction

2022-03-30

NFA permanently bars Chennai, India commodity pool operator and commodity trading advisor eDeal Market LLC and its principal Nithya Narasimhan from membership.

Edealfx

Sanction

2022-03-30

NFA orders Dallas, Texas introducing broker and commodity trading advisor Member Coquest Incorporated to pay a $275,000 fine

Coquest

Sanction

2021-10-28

NFA orders London, U.K. introducing broker Freight Investor Services Limited to pay a $140,000 fine

FIS

Sanction

2021-09-16

NFA orders London, U.K. swap dealer ED&F Man Capital Markets Limited to pay a $150,000 fine

ED&F Man

Sanction

2021-08-05

NFA orders New York, N.Y. introducing broker Tullett Prebon Financial Services LLC to pay a $150,000 fine

Tullett Prebon

Sanction

2021-06-29

NFA orders Chicago, Ill. swap dealer The Northern Trust Company to pay a $999,000 fine

Northern Trust

Sanction

2021-05-20

NFA orders Plymouth, Minn. introducing broker Roy E. Abbott Futures, Inc. to pay a $75,000 fine and approximately $198,000 in restitution to customers

Abbott Futures

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