U.S. Commodity Futures Trading Commission Sanctions Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC for Repeated Failure to File Annual Reports on Time for Many of the Commodity Pools they Operate Commodity pool fraud

CFTC release 5364-07 · 2007-08-01 · view on cftc.gov ↗

Key facts

Release number: 5364-07
Release date: 2007-08-01
Type: Commodity pool fraud
Primary source: https://www.cftc.gov/PressRoom/PressReleases/5364-07

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.