NFA Fines Braemar Securities $140,000 for Lapses in Recordkeeping Compliance

NFA Fines Braemar Securities $140,000 for Lapses in Recordkeeping Compliance

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Braemar Securities is in the
spotlight after the National Futures Association (NFA) imposed a fine of
$14src,srcsrcsrc against the London-based broker. This penalty is in response to Braemar Securities’ alleged
failure to meet communication recordkeeping obligations and the improper
disclosure of customers’ confidential information.In an email to Finance Magnates…
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