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Empire Futures LLC - *Barred from NFA

NEW YORK, NY 10038
Phone: (212)571-4433
Website: N/A

About the Commodity Broker:
**Shutdown by the Nation Futures Association**
NFA ID Number:
Principle(s) of Brokerage Firm:
Date of Registration:
Brokerage Firm's Disciplinary / Complaint History:
  • Regulatory Actions: 1
  • NFA Arbitration Awards: 0
  • CFTC Reparation Cases: 1

Details (if any):


On December 14, 2005, NFA issued a Complaint charging Empire with using deceptive and misleading disclosure documents and other promotional material. The Complaint charged Sushman and Empire with overcharging customers for incentive fees and failing to supervise.


On July 24, 2006, Empire's NFA membership was ordered to be terminated within 45 days and Empire was ordered to never again apply for NFA membership. Sushman's Associate NFA membership and his principal status with an NFA Member was ordered to be terminated within 45 day. Sushman was ordered not to apply for NFA associate membership for three months commencing upon the termination of his NFA Associate membership. For two years following the three-month period, Sushman was ordered not to be an Associate Member of NFA unless he and his sponsoring Member have executed a "Commitment to Undertake Special Supervision of Reuben L. Sushman". Only periods during which Sushman is an Associate of an NFA Member count toward his fulfillment of this obligation.

In addition, Sushman was ordered not to apply for NFA membership or principal status with any NFA Member; not to act in any capacity that requires him to be listed as a principal of any NFA Member or in a supervisory capacity for any NFA Member; and not to exercise power of attorney or otherwise exercise discretion over any customer accounts that are subject to NFA oversight for five years.
Clearing Firm (FCM):
Any "Doing Business As" (DBA's):
Additional Information from the Commodity Broker:

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