Capital Market Services, LLC Ordered to Pay $275,000 Penalty to Settle CFTC Charges of Violating Minimum Financial Requirement Rules Settlement

CFTC release 6908-14 · 2014-04-08 · view on cftc.gov ↗

Key facts

Release number
6908-14
Release date
2014-04-08
Type
Settlement
Primary source
https://www.cftc.gov/PressRoom/PressReleases/6908-14

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.