The National Futures Association's Business Conduct Committee issued a decision based on a complaint and a settlement offer from Marex Spectron, in which the firm neither admitted nor denied allegations that it failed to prevent individuals located outside the U.S. from soliciting or accepting orders from U.S. customers without being National Futures Association Associates and registered with the Commodity Futures Trading Commission as associated persons of the firm, and that it failed to supervise in connection with that conduct.
National Futures Association2026-06-30
National Futures Association issues decision on Marex Spectron over unregistered offshore solicitation of U.S. customers
The National Futures Association's Business Conduct Committee issued a decision based on a complaint and settlement offer from Marex Spectron. The complaint alleged the firm failed to prevent individuals outside the U.S. from soliciting or accepting orders from U.S. customers without required National Futures Association and Commodity Futures Trading Commission status, and failed to supervise.