Securities Fraud Articles
NFA Discovery Rules and Discovery Process
If a commodities or futures investor has an investment fraud claim, it is likely that such claim will be arbitrated through NFA’s dispute...
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...
