# CFTC Orders Registered Floor Broker Thomas Carroll and Trader R. Scott Hopkins to Pay Civil Monetary Totaling $700,000 for Engaging in a Fraudulent Trade Allocation Scheme

> CFTC release 5956-10 · 2010-12-22 · **Fraud** · ENFORCEMENT

## Key facts

- **Release number:** 5956-10
- **Release date:** 2010-12-22
- **Type:** Fraud
- **Title:** CFTC Orders Registered Floor Broker Thomas Carroll and Trader R. Scott Hopkins to Pay Civil Monetary Totaling $700,000 for Engaging in a Fraudulent Trade Allocation Scheme
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/5956-10

## 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 5956-10, "CFTC Orders Registered Floor Broker Thomas Carroll and Trader R. Scott Hopkins to Pay Civil Monetary Totaling $700,000 for Engaging in a Fraudulent Trade Allocation Scheme", 2010-12-22. Retrieved via AI Analytics 2026-06-30 from https://api.ai-analytics.org/cftc-action/5956-10.

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