# 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

> CFTC release 5364-07 · 2007-08-01 · **Commodity pool fraud** · ENFORCEMENT

## Key facts

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

## What this is

CFTC enforcement actions cover derivatives + commodities + crypto fraud cases. The Commission charges market participants under the Commodity Exchange Act for spoofing, manipulation, fraud, wash trades, registration violations, and pool-operator misconduct. Most actions settle with restitution + civil money penalty + a bar/suspension.


## Citation

> US Commodity Futures Trading Commission, press release 5364-07, "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", 2007-08-01. Retrieved via AI Analytics 2026-07-10 from https://api.ai-analytics.org/cftc-action/5364-07.

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