CFTC Orders Mizuho Securities USA Inc. to Pay $175,000 to Settle CFTC Charges of Secured Fund Deficiencies and Supervision Failures Settlement

CFTC release 6491-13 · 2013-01-04 · view on cftc.gov ↗

Key facts

Release number
6491-13
Release date
2013-01-04
Type
Settlement
Primary source
https://www.cftc.gov/PressRoom/PressReleases/6491-13

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.