United Global Markets LLC Fined $40,000 by the National Futures Association

Date

13/08/2007
Amount

40,000

United Global Markets LLC Fined $40,000 by the National Futures Association

Date

13/08/2007
Amount

40,000

Content

violating NFA Financial Requirements Section 11(a) by failing to maintain the required adjusted net capital, as prescribed therein

Type

Fine

Reason

Non-Compliant

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