Federal Court Permanently Bans North Carolina Resident Neal Hall from Trading and Registration and Imposes a $210,000 Penalty for Violating the CFTC’s Registration and Consumer Notice Provisions Registration / supervisory violation

CFTC release 7045-14 · 2014-10-28 · view on cftc.gov ↗

Key facts

Release number: 7045-14
Release date: 2014-10-28
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7045-14

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.