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

> CFTC release 6491-13 · 2013-01-04 · **Settlement** · ENFORCEMENT

## Key facts

- **Release number:** 6491-13
- **Release date:** 2013-01-04
- **Type:** Settlement
- **Title:** CFTC Orders Mizuho Securities USA Inc. to Pay $175,000 to Settle CFTC Charges of Secured Fund Deficiencies and Supervision Failures
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/6491-13

## 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 6491-13, "CFTC Orders Mizuho Securities USA Inc. to Pay $175,000 to Settle CFTC Charges of Secured Fund Deficiencies and Supervision Failures", 2013-01-04. Retrieved via AI Analytics 2026-07-07 from https://api.ai-analytics.org/cftc-action/6491-13.

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