CFTC Orders ABN AMRO Clearing Chicago LLC to Pay $1 Million to Settle Charges of Segregated and Secured Fund Deficiencies, a Minimum Net Capital Violation, Books and Records Violation, and Supervision Failures Settlement

CFTC release 6614-13 · 2013-06-20 · view on cftc.gov ↗

Key facts

Release number: 6614-13
Release date: 2013-06-20
Type: Settlement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6614-13

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.