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National Futures Association

Year 1982Regulated by Government

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.

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Warning Announcement
Disclosure summary
  • Disclosure matching Name matching
  • Disclosure time 2020-11-05
  • Reason for punishment The Decision, issued by NFA's Business Conduct Committee (BCC), is based on a Complaint issued by the BCC and a settlement offer submitted by Postrock and Kevin Meyer, Postrock's owner and sole managing member.
Disclosure details

NFA orders former Chicago, Ill. introducing broker Postrock Brokerage LLC to not reapply for membership

For Immediate Release August 06, 2020 For more information contact: Kristen Scaletta, 312-781-7860, kscaletta@nfa.futures.org Karen Wuertz, 312-781-1335, kwuertz@nfa.futures.org NFA orders former Chicago, Ill. introducing broker Postrock Brokerage LLC to not reapply for membership August 6, Chicago—NFA has ordered Postrock Brokerage LLC (Postrock), a former NFA Member introducing broker located in Chicago, Ill., to not reapply for membership. The Decision, issued by NFA's Business Conduct Committee (BCC), is based on a Complaint issued by the BCC and a settlement offer submitted by Postrock and Kevin Meyer, Postrock's owner and sole managing member. Among other things, the Complaint alleged that Postrock made misleading statements and misrepresentations to customers and placed unauthorized trades in customers' accounts or exercised discretion over customers' accounts without having written authority. In addition, the Complaint alleged that Postrock placed trades for customers which offered no economic benefit. For more information, read the Complaint and Decision.
Annex
More regulatory disclosure

Danger

2021-07-08

Danger

2022-09-16
WARNING NOTICE
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Danger

2022-03-02

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