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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 Name matching
- Disclosure time 2021-10-28
- Penalty amount $ 140,000.00 USD
- Reason for punishment The Committee found that Freight failed to keep full, complete and systematic records of all transactions relating to Freight's business of dealing in commodity interests. The Committee also found that Freight allowed an unregistered individual to act as an associated person without being registered in such capacity and an NFA Associate.
Disclosure details
NFA orders London, U.K. introducing broker Freight Investor Services Limited to pay a $140,000 fine
For Immediate Release
October 28, 2021
For more information contact:
Christie Hillsman, 312-781-1497, chillsman@nfa.futures.org
Karen Wuertz, 312-781-1335, kwuertz@nfa.futures.org
NFA orders London, U.K. introducing broker Freight Investor Services Limited to pay a $140,000 fine
October 28, Chicago—NFA has ordered Freight Investor Services Limited (Freight), an NFA Member introducing broker located in London, U.K., to pay a $140,000 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 Freight, in which it neither admitted nor denied the allegations. The Committee found that Freight failed to keep full, complete and systematic records of all transactions relating to Freight's business of dealing in commodity interests. The Committee also found that Freight allowed an unregistered individual to act as an associated person without being registered in such capacity and an NFA Associate.
The complete text of the Complaint and Decision can be viewed on NFA's website.
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