NFA ACTION – James C. Morton

The NFA barred James C. Morton from acting as a principal of an NFA Member for a period of five years and also ordered him to pay a fine of $10,000 in the event that he reapplies for NFA membership or associate membership. The

Decisionas to Morton, which was issued by an NFA Hearing Panel, accepted a settlement offer submitted by Morton and was based on an NFA Complaint filed in June 2009, which charged Morton with failure to supervise GlobeFX’s business operations and forex activities.

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Stay On Top Of The Debt Relief Industry's Regulatory Landscape

On November 6-7, 2022, Shipkevich PLLC will be hosting a Regulatory Workshop in Costa Mesa, California focusing on the fundamental regulatory issues facing debt relief professionals and how they can adapt.