CFTC Charges National Accounting Firm McGladrey & Pullen, LLP, and Partner David Shane with Failure to Properly Audit One World Capital Group, a Former Registered Futures Commission Merchant Other enforcement

CFTC release 6114-11 · 2011-09-23 · view on cftc.gov ↗

Key facts

Release number: 6114-11
Release date: 2011-09-23
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6114-11

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.