One of Grant Park Futures Fund Limited Partnership’s clearing brokers, UBS Securities LLC, still faces administrative complaints filed by the Securities Division of the Secretary of the Commonwealth of Massachusetts.
On June 27, 2007, the Massachusetts Securities Division filed an…
UBS Securities LLC, one of Grant Park Futures Fund Limited Partnership’s clearing brokers, faces an administrative action filed by the New Hampshire Bureau of Securities Regulation.
On Aug. 14, 2008, the New Hampshire Bureau of Securities Regulation filed an administrative action…
Newedge Financial Inc., a wholly-owned subsidiary of Newedge USA, LLC, in March 2008, settled a disciplinary action brought by the New York Mercantile Exchange (NYMEX).
Newedge USA became one of Grant Park Futures Fund Limited Partnership’s clearing brokers effective July 1,…
One of Grant Park Futures Fund Limited Partnership’s clearing brokers, MF Global Inc., and two of its employees remain in dispute with the Commodity Futures Trading Commission’s Division of Enforcement.
MF Global was formerly known as Man Financial Inc.
In…
The specific terms of the global settlement between UBS Securities LLC, UBS Financial Services, Inc., and three government entities are being finalized, according to Grant Park Futures Fund Limited Partnership’s Form S-1 dated Oct. 3, 2008.
UBS Securities serves as one…
UBS Securities LLC, one of Grant Park Futures Fund Limited Partnership’s clearing brokers, faces an administrative proceeding filed by the Texas State Securities board on July 22, 2008.
The Texas State Securities board filed an administrative proceeding against UBS Securities…
MF Global Inc.’s parent, MF Global Ltd., is cooperating in an investigation conducted by a New York County Grand Jury in conjunction with the U.S. Attorney’s Office in the Southern District of New York.
MF Global, formerly known as Man…