CFTC Orders FCStone LLC to Pay a $1.5 Million Civil Monetary Penalty for Failing to Have Risk Controls, in Violation of Supervision Obligations Other enforcement

CFTC release 6594-13 · 2013-05-30 · view on cftc.gov ↗

Key facts

Release number: 6594-13
Release date: 2013-05-30
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6594-13

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.