CFTC Orders ADM Investor Services, Inc. to Pay a $425,000 Penalty for Unlawfully Commingling Customer Funds with Funds in Non-Customer Accounts Other enforcement

CFTC release 6726-13 · 2013-10-01 · view on cftc.gov ↗

Key facts

Release number: 6726-13
Release date: 2013-10-01
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6726-13

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.