U.S. Commodity Futures Trading Commission Files Action Against Futures Commission Merchant Nations Investments, LLC, for Failure to Maintain the Minimum Amount of Net Capital Required by Federal Law Other enforcement

CFTC release 5380-07 · 2007-09-06 · view on cftc.gov ↗

Key facts

Release number: 5380-07
Release date: 2007-09-06
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/5380-07

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.