CFTC Sanctions Rosenthal Collins Group, L.L.C. More than $1.3 Million for Supervision Violations Other enforcement

Key facts

Release number

5915-10

Release date

2010-10-05

Type

Other enforcement

Primary source

https://www.cftc.gov/PressRoom/PressReleases/5915-10

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.