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

> CFTC release 5535-08 · 2008-08-27 · **Other enforcement** · ENFORCEMENT

## Key facts

- **Release number:** 5535-08
- **Release date:** 2008-08-27
- **Type:** Other enforcement
- **Title:** CFTC Sanctions Rosenthal Collins Group, LLC $310,000 for Failing to Enforce Compliance Procedures and Diligently Supervise Employees
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/5535-08

## 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 5535-08, "CFTC Sanctions Rosenthal Collins Group, LLC $310,000 for Failing to Enforce Compliance Procedures and Diligently Supervise Employees", 2008-08-27. Retrieved via AI Analytics 2026-07-05 from https://api.ai-analytics.org/cftc-action/5535-08.

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