RFC TRADING, LLC

RFC TRADING, LLC is an SEC exempt reporting adviser (CRD 167126).

Registration

Officers, owners & control persons (10)

NameRoleLocation
Joan HertzMEMBERBrooklyn, NY
Barry Israel HertzDIRECTOR OF SALES & MARKETING, ALSO ADVISES AND/OR PARTICIPATES WITH RESPECT TO PORTFOLIO MANAGEMENT—
David HertzCONTROLLER; MANAGING MEMBER—
HERTZ JOSHUA DAVIDMANAGING MEMBER—
DRILLICK SHLOMO DAVIDMANAGING MEMBER; MANAGING MEMBER AND PORTFOLIO MANAGER—
KAHN AARON WCOMPLIANCE OFFICER; COMPLIANCE OFFICER AND PORTFOLIO MANAGER—
HERTZ JOANMEMBER—
JAKUBOWITZ GEORGETTE AVIVACONTROLLER—
HERTZ BARRY ISRAELDIRECTOR OF SALES & MARKETING; DIRECTOR OF SALES & MARKETING, ALSO ADVISES AND/OR PARTICIPATES WITH RESPECT TO PORTFOLIO MANAGEMENT—
ROSE BENJAMIN THEODORESALES & MARKETING—

Disclosures (2)

InitiatedTypeAllegationsStatusAmount
2005-06-14regulatoryTHE SEC'S COMPLAINT ALLEGES TRADING BY HERTZ DURING THE PERIOD JULY THROUGH NOVEMBER 2003, VIOLATION OF SECTION 17(A) OF THE SECURITIES ACT OF 1934 AND SECTION 10(B) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 10B-5 THEREUNDERFinal$137K
2005-06-14civilTHE SEC'S COMPLAINT ALLEGES INSIDER TRADING BY HERTZ DURING THE PERIOD JULY THROUGH NOVEMBER 2003, VIOLATION OF SECTION 179(A) OF THE SECURITIES ACT OF 1934 AND SECTION 10(B) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 10B-5 THEREUNDERFinal$137K

Private funds (2)

FundTypeFormedOwnersGross asset valueMin investment
FOSTER GLENWOOD CAPITAL LPHedge FundDelaware12$30.5M$50K
DITMAS PARK CAPITAL, LPHedge FundDelaware18$13.3M$50K

Fund service providers (2)

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