United Global Markets LLC Fined $40,000 by the National Futures Association
United States
- 08/13/2007
- Fine
- 40,000.00
- NFA
Detail
violating NFA Financial Requirements Section 11(a) by failing to maintain the required adjusted net capital, as prescribed therein
Source Link
http://www.nfa.futures.org/basicnet/CaseDocument.aspx?seqnum=1291