Author: D. Daxton White
NFA Orders Monetary Sanction Against New Jersey Firm Gain Capital Group
National Futures Association (NFA) has ordered Gain Capital Group LLC (Gain), a forex dealer member located in Bedminster, New Jersey, to...
NFA Investigates Maryland Commodities Firm Trade Dock Capital
National Futures Association (NFA) recently announced that it has taken an emergency enforcement action against Trade Dock Capital LLC...
NFA Investigates Texas Commodity Trading Advisor FINFX
National Futures Association (NFA) recently announced that it has taken an emergency enforcement action against FIN FX LLC (FINFX) and its...
FINRA Fines Broker Michael Hendry For Insider Trading
The Financial Industry Regulatory Authority (FINRA) recently announced that a former registered representative, Michael Hendry, has been...
Capital Financial Services In More Trouble?
According to the Investment News, the Securities and Exchange Commission has alleged that an independent broker-dealer that was a leading...
