# 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

> CFTC release 6714-13 · 2013-09-28 · **Other enforcement** · ENFORCEMENT

## Key facts

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

## 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 6714-13, "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", 2013-09-28. Retrieved via AI Analytics 2026-06-30 from https://api.ai-analytics.org/cftc-action/6714-13.

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