CFTC Orders Fine and Revokes Registration of Former COMEX Floor Broker Dominick Anthony Cognata Based on His Failure to Produce Required Records and His Pattern of Conduct Demonstrating an Inability to Comply with the Commodity Laws Registration / supervisory violation

CFTC release 7070-14 · 2014-11-27 · view on cftc.gov ↗

Key facts

Release number: 7070-14
Release date: 2014-11-27
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7070-14

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.