CFTC Orders Morgan Stanley Smith Barney LLC to Pay $490,000 to Settle Charges Relating to Rules and Regulations Pertaining to Segregated and Secured Amount Funds Settlement

CFTC release 6894-14 · 2014-03-28 · view on cftc.gov ↗

Key facts

Release number: 6894-14
Release date: 2014-03-28
Type: Settlement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/6894-14

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.