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NFA investigation
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May 9, 2011

NFA Investigates Spirit Investments

In August 2010, National Futures Association (NFA) announced that it had taken a

May 4, 2011

NFA Orders Monetary Sanction Against New Jersey Firm Gain Capital...

National Futures Association (NFA) has ordered Gain Capital Group LLC (Gain), a

May 4, 2011

NFA Settles Claim Against Ikon Global Markets

National Futures Association (NFA) has ordered IKON Global Markets, Inc. (IKON), a

May 4, 2011

NFA Investigates Maryland Commodities Firm Trade Dock Capital

National Futures Association (NFA) recently announced that it has taken an emergency

FINRA Award: UBS to Pay Investors $358,000 for YES Strategy
September 17, 2021
RBC Capital Markets to pay $800,000 for Unfair Dealing in Municipal...
September 17, 2021
Deutsche Bank Securities Censured & Fined
September 13, 2021
William “Jeff” Michero, Cambridge Investments, Barred from the Securities Industry
September 13, 2021

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