CFTC Sanctions Rosenthal Collins Group, LLC $310,000 for Failing to Enforce Compliance Procedures and Diligently Supervise Employees Other enforcement

CFTC release 5535-08 · 2008-08-27 · view on cftc.gov ↗

Key facts

Release number: 5535-08
Release date: 2008-08-27
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/5535-08

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.