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Global Broker Regulation & Inquiry App
National Futures Association
Year 1982Regulated by Government
National Futures Association (NFA) is the industrywide, self-regulatory organization for the U.S. derivatives industry, providing innovative and effective regulatory programs. Designated by the CFTC as a registered futures association, NFA strives every day to safeguard the integrity of the derivatives markets, protect investors and ensure Members meet their regulatory responsibilities.
Disclose broker
Disclosure summary
- Disclosure matching Supervision number matching
- Disclosure time 2019-08-07
- Penalty amount $ 50,000.00 USD
- Reason for punishment The Decision, issued by NFA's Business Conduct Committee (BCC), is based on a Complaint issued by the BCC and a settlement offer submitted by Gain.
Disclosure details
NFA orders Bedminster, N.J. futures commission merchant and forex dealer member Gain Capital Group LLC to pay a $50,000 fine
For Immediate Release
August 07, 2019
For more information contact:
Kristen Scaletta, 312-781-7860, kscaletta@nfa.futures.org
Karen Wuertz, 312-781-1335, kwuertz@nfa.futures.org
NFA orders Bedminster, N.J. futures commission merchant and forex dealer member Gain Capital Group LLC to pay a $50,000 fine
August 7, Chicago—NFA has ordered Bedminster, N.J. futures commission merchant and forex dealer member Gain Capital Group LLC (Gain) to pay a $50,000 fine.
The Decision, issued by NFA's Business Conduct Committee (BCC), is based on a Complaint issued by the BCC and a settlement offer submitted by Gain. The Complaint alleged that Gain failed to favorably adjust all customer orders adversely impacted by a recurring malfunction affecting Gain's electronic trading platform.
For more information, read the Complaint and Decision.
Annex
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