NFA ACTION: True Vector Trading Group LLC

The NFA barred Introducing Broker True Vector Trading Group LLC and its principal James Douglas. Among other infringements, the firm seems to have had customers sign blank account opening documents, which Douglas completed with inaccurate information. The Decision, issued by NFA’s Business Conduct Committee, follows from a June 2009 complaint, which charged the firm and its principal with violations of NFA Compliance Rules 2-2(a), 2-29(a)(1) and 2-4.

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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.