CFTC Orders Morgan Stanley & Co. LLC to Pay $5 Million Civil Monetary Penalty for Unlawful Noncompetitive Trades Other enforcement

CFTC release 6270-12 · 2012-06-06 · view on cftc.gov ↗

Key facts

Release number
6270-12
Release date
2012-06-06
Type
Other enforcement
Primary source
https://www.cftc.gov/PressRoom/PressReleases/6270-12

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.