Violation Tracker Individual Record
Company:
Gain Capital UK Limited
Penalty:
$491,671
Year:
2020
Date:
June 8, 2020
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Secondary Offense:
financial institution supervision failures
Level of Government:
federal
Action Type:
agency action
Agency:
Commodity Futures Trading Commission
Civil or Criminal Case:
civil
Source of Data:
Source Notes:
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.
