CFTC Orders R.J. O’Brien & Associates LLC to Pay $125,000 for Violation of Customer Protection Regulation Other enforcement

Key facts

Release number

6715-13

Release date

2013-09-28

Type

Other enforcement

Primary source

https://www.cftc.gov/PressRoom/PressReleases/6715-13

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.