Hi everyone,

I'm wondering somebody else got an email today from RSM US LLP asking for an Audit Confirmation Request - NinjaTrader Clearing, LLC.

They are asking for my financial status with NinjaTrader Brokerage. They send me a form where I need to confirm my account value of 31.12.2022. In that paper are the correct account number, value and my address.

I send a email to Ninjatrader Brokerage to verify all that stuff and here is their response.

Hello Michael,

Thank you for the note.

You can just toss this note into spam, anything that would come from us has a Ninja Trader stamp in the email and as well our email finishes with Ninja Trader.

Here are the email and the form (I deleted my address, account number and account value) to fill out and send back.

Anybody got those emails to or is it only me?

I get an audit request email from my brokers (Advantage Futures) accountant every year.
The email sent to me includes a copy of my year end statement and asks me to confirm that it matches my records.
If they are auditing your broker they should have all the information they are asking for already and would only need you to confirm it.

SMCJB 

I get an audit request email from my brokers (Advantage Futures) accountant every year. The email sent to me includes a copy of my year end statement and asks me to confirm that it matches my records. If they are auditing your broker they should have all the information they are asking for already and would only need you to confirm it.

Does it state in their contract/terms that you have to participate in their audit? I would assume it's optional.

SMCJB 

I get an audit request email from my brokers (Advantage Futures) accountant every year. The email sent to me includes a copy of my year end statement and asks me to confirm that it matches my records. If they are auditing your broker they should have all the information they are asking for already and would only need you to confirm it.

Hi @SMCJB

yes, all the information are in the form from NinjaTrader (I did delete those information so I can post it here), I need only to sign and send it.

The weird thing is, that NinjaTrader Brokerage Support telling me to put it into the spam.

Ahhh... while I writing this, I got a 2. email from NinjaTrader Brokerage Support.

Hello,

Apologies for any confusion.

The original email you received was legitimate. The information you received previously was incorrect.

That original email cam from a company we work with when doing these audits. You can just fill out the form that was attached and send that to our new accounts team at [email protected].

What I like now is that I can send it to a NinjaTrader email address and not something else.

I trade now for 14 years and never got to sign an audit letter from the broker, that's new.

Arch 

Does it state in their contract/terms that you have to participate in their audit? I would assume it's optional.

Let me ask

edit:

@Arch
Here are the answer:

Hello,

Thank you for your inquiry.

Yes, you will need to complete the form se the audit can continue.

If you require additional confirmation that you should participate, please email [email protected] .

@michaelf, you asked "Anybody got those emails to or is it only me?" I did not. Never have received such. Even a follow up re 'the original was legit' sounds off.

casey44 

@michaelf, you asked "Anybody got those emails to or is it only me?" I did not. Never have received such. Even a follow up re 'the original was legit' sounds off.

I suspect it's a function of account size.