NFA - National Futures Association

06/30/2026 | Press release | Distributed by Public on 06/30/2026 10:41

DECISION IN DISCIPLINARY CASES (Marex Spectron International Limited)

Case Documents:

Amended Answer Amended Complaint Amended Decision Amended Notice Of Intent Amended Notice Of Member Responsibility Action Answer Appeals Committee Decision Cftc Decision Cftc Order Circuit Court Appeal Complaint Decision Federal Court Order Final Order Interim Order Nfa Reply Notice Notice And Order Lifting Member Responsibility Action Notice And Order Lifting Suspension Of Membership Notice And Order Of Suspension Notice Of Appeal Notice Of Associate Responsibility Action Notice Of Intent Notice Of Member Responsibility Action Notice Of Suspension Of Membership Notice Of Termination Of Ara Notice Of Termination Of Member Responsibility Action Order Order Denying Petition Order Lifting Conditions Order Of Dismissal Petition To Stay Response To Amended Notice Of Intent Response To Notice Of Intent Withdrawal Of Notice Of Intent

Narrative Summary:

COMPLAINT:

On July 16, 2025, NFA's Business Conduct Committee (BCC) issued a Complaint against Marex Spectron International Limited (Marex Spec... tron), charging Marex Spectron with allowing individuals to solicit and/or accept orders from customers located in the U.S. without being NFA Associates and registered with the CFTC as Associated Persons of the firm. The Complaint also charges Marex Spectron with failing to supervise.

DECISION:

On June 30, 2026, NFA's BCC issued a Decision, pursuant to Marex Spectron's settlement offer, and ordered Marex Spectron to pay a fine of $350,000. Read More.

Rule Type:

  • BLAW301(b) - REGISTRATION OF APS AS ASSOCIATES
  • C.R.2-9(a) - SUPERVISION OF EMPLOYEES

Committee:

  • Business Conduct Committee

Action Type(s):

  • GENERAL CONDUCT
  • REGISTRATION

Penalty/Event:

  • FINE $350,000
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