CFTC Orders Deutsche Bank Securities Inc. to Pay $3 Million to Settle Charges of Improper Investment of Customer Segregated Funds, Reporting and Recordkeeping Violations, and Supervision Failures Settlement

CFTC release 7089-14 · 2014-12-23 · view on cftc.gov ↗

Key facts

Release number: 7089-14
Release date: 2014-12-23
Type: Settlement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7089-14

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.