![NFA Fines Braemar Securities $140,000 for Lapses in Recordkeeping Compliance](https://dailytalks.org/wp-content/uploads/2024/01/133451-nfa-fines-braemar-securities-140000-for-lapses-in-recordkeeping-compliance.jpg)
Braemar Securities is in the
spotlight after the National Futures Association (NFA) imposed a fine of
$140,000 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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