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  1. #1
    Avatar de Airbrake
    Erectus


    Reputación:
    Poder de reputación: 6

    Mensajes: 137
    Créditos: 580

    Multa


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    Otra multa , pero esta vez para Alpari US LLC: Fuente


    For Immediate Release
    July 26, 2012For more information contact:
    Karen Wuertz (312) 781-1335, kwuertz@nfa.futures.org
    Larry Dyekman (312) 781-1372, ldyekman@nfa.futures.org
    NFA issues $200,000 fine against New York forex firm Alpari US LLC
    July 26, Chicago - National Futures Association (NFA) has ordered Alpari US LLC, a futures commission merchant and forex dealer Member located in New York City, to pay a $200,000 fine as a result of an NFA Complaint filed in June 2012 and a settlement offer submitted by Alpari and two of the firm's principals, Jermaine C. Harmon and Richard A. Lani.
    The Decision, issued by NFA's Business Conduct Committee, found Alpari violated several NFA requirements, including improperly cancelling forex trades and removing profits from customer accounts, failing to timely report trade data and other required information to NFA, failing to observe high standards of commercial honor, failing to comply with NFA's Enhanced Supervisory Requirements and failing to keep accurate records. The Decision also found that Alpari - together with Harmon and Lani - failed to supervise.
    In addition to the $200,000 fine, Alpari is required to refund within 30 days to customers losses they incurred as a result of the price adjustments that Alpari made to their accounts in connection with an October 2011 "market event." Alpari must also provide verification to NFA that these refunds were paid to and received by customers.
    Alpari must also submit a written report to NFA within 180 days of the effective date of the Decision which documents the results of an independent review of Alpari's electronic trading platforms conducted by a qualified outside party and the steps Alpari has implemented to remedy deficiencies with the firm's internal controls.
    Alpari, Harmon and Lani neither admitted nor denied the charges. The complete text of the Complaint and Decision are available on NFA's website.
    Foro de Forex Trading United




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  3. #2
    Avatar de PIPermint
    habilis


    Reputación:
    Poder de reputación: 5

    Mensajes: 467

    Re: Multa

    Vaya palo, y eso que se suponía que Alpari era de los más "legales".
    Foro de Forex Trading United

     

  4. #3
    Avatar de Puk33
    Heidelbergensis


    Reputación:
    Poder de reputación: 13

    Mensajes: 2.152
    Créditos: 1.961

    Re: Multa


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    Cita Iniciado por Airbrake Ver mensaje
    Otra multa , pero esta vez para Alpari US LLC: Fuente


    For Immediate Release
    July 26, 2012For more information contact:
    Karen Wuertz (312) 781-1335, kwuertz@nfa.futures.org
    Larry Dyekman (312) 781-1372, ldyekman@nfa.futures.org
    NFA issues $200,000 fine against New York forex firm Alpari US LLC
    July 26, Chicago - National Futures Association (NFA) has ordered Alpari US LLC, a futures commission merchant and forex dealer Member located in New York City, to pay a $200,000 fine as a result of an NFA Complaint filed in June 2012 and a settlement offer submitted by Alpari and two of the firm's principals, Jermaine C. Harmon and Richard A. Lani.
    The Decision, issued by NFA's Business Conduct Committee, found Alpari violated several NFA requirements, including improperly cancelling forex trades and removing profits from customer accounts, failing to timely report trade data and other required information to NFA, failing to observe high standards of commercial honor, failing to comply with NFA's Enhanced Supervisory Requirements and failing to keep accurate records. The Decision also found that Alpari - together with Harmon and Lani - failed to supervise.
    In addition to the $200,000 fine, Alpari is required to refund within 30 days to customers losses they incurred as a result of the price adjustments that Alpari made to their accounts in connection with an October 2011 "market event." Alpari must also provide verification to NFA that these refunds were paid to and received by customers.
    Alpari must also submit a written report to NFA within 180 days of the effective date of the Decision which documents the results of an independent review of Alpari's electronic trading platforms conducted by a qualified outside party and the steps Alpari has implemented to remedy deficiencies with the firm's internal controls.
    Alpari, Harmon and Lani neither admitted nor denied the charges. The complete text of the Complaint and Decision are available on NFA's website.
    Este tipo de cosas son las que demuestran a quien tiene dudas de por que elegir un broker regulado. Si la hacen la pagan, imagina lo que harian si nadie les controlase...

    Airbrake es nuestro vengador, siempre atento.
    Foro de Forex Trading United


    Solo los intrépidos llegan...

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