CFTC Sanctions ADM Investor Services, Inc. $200,000 For Failing To Diligently Supervise Its Employees Other enforcement

CFTC release 5639-09 · 2009-03-27 · view on cftc.gov ↗

Key facts

Release number
5639-09
Release date
2009-03-27
Type
Other enforcement
Primary source
https://www.cftc.gov/PressRoom/PressReleases/5639-09

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.