Details

GAIN CAPITAL GROUP LLC NFA ID: 0339826 Current Status • FOREX FIRM APPROVED  • RETAIL FOREIGN EXCHANGE DEALER REGISTERED  • FOREX DEALER MEMBER APPROVED  • NFA MEMBER APPROVED  • FUTURES COMMISSION MERCHANT REGISTERED  Exemptions Click the link below to view exemptions for this firm View Exemptions FCM Financial Information Click the link below to view financial information for this firm View Financial Information Firm Activity Status Firm has on-exchange futures and/or options customer accounts No Firm is soliciting customers Yes Firm manages futures or options customer accounts No Firm operates commodity pools No Firm is engaged in retail off-exchange foreign currency futures and/or options Yes Regulatory Actions  Agency Number NFA 2 CFTC 0 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 5 details...   CFTC Reparations Cases Total 14 details... Formerly Known As • GAIN CAPITAL GROUP INC   Business Address 135 US HIGHWAY 202 & 206 SUITE 11 BEDMINSTER, NJ  07921 UNITED STATES 908-731-0700 Doing Business As • FOREX.COM • OEC • OEC FX • OPEN E CRY • OPENECRY   Listed Principals  Listed Principal Name Title 10% or More Financial Interest MARIA CONCEPCION ARENA CHIEF FINANCIAL OFFICER NO ALEXANDER ROBERT BOBINSKI JR CHIEF EXECUTIVE OFFICER NO GAIN HOLDINGS LLC YES SAMANTHA MICHELLE ROADY HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO History  Status Effective Date • FOREX FIRM APPROVED 10/07/2010  • RETAIL FOREIGN EXCHANGE DEALER REGISTERED 10/07/2010  • FOREX DEALER MEMBER APPROVED 10/07/2010  • FOREX DEALER MEMBER PENDING 09/02/2010  • FOREX FIRM PENDING 09/02/2010  • RETAIL FOREIGN EXCHANGE DEALER PENDING 09/02/2010  • NFA MEMBER APPROVED 07/29/2004  • FUTURES COMMISSION MERCHANT REGISTERED 07/29/2004  • NFA MEMBER PENDING 04/22/2004  • FUTURES COMMISSION MERCHANT PENDING 04/22/2004  GAIN CAPITAL  • PRINCIPAL WITHDRAWN 09/04/2004  • PRINCIPAL APPROVED 01/21/2004  OPEN E CRY LLC  • PRINCIPAL WITHDRAWN 01/10/2013  • PRINCIPAL APPROVED 09/04/2012