CFTC FILES AND SETTLES REGISTRATION CLAIM AGAINST JEFFREY ALLEN OF HOUSTON, TEXAS; CFTC Order Finds that Allen Failed to Register as a Commodity Trading Advisor Registration / supervisory violation

CFTC release 4917-04 · 2004-04-20 · view on cftc.gov ↗

Key facts

Release number: 4917-04
Release date: 2004-04-20
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/4917-04

About CFTC enforcement

The CFTC charges market participants under the Commodity Exchange Act for spoofing, manipulation, fraud, wash trades, registration violations, and commodity-pool-operator misconduct. Most actions settle with restitution + civil money penalty + a bar/suspension. Crypto-asset cases have been a major share since 2019.