# 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

> CFTC release 6894-14 · 2014-03-28 · **Settlement** · ENFORCEMENT

## Key facts

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

## 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 6894-14, "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", 2014-03-28. Retrieved via AI Analytics 2026-07-09 from https://api.ai-analytics.org/cftc-action/6894-14.

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