CFTC Orders Vision Financial Markets LLC to Pay a $525,000 Penalty for Violations of Customer Fund Segregation Requirements, Failure to Notify the CFTC of its Under-Segregation, and Misstatements to the CFTC Other enforcement

CFTC release 6714-13 · 2013-09-28 · view on cftc.gov ↗

Key facts

Release number: 6714-13
Release date: 2013-09-28
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6714-13

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.