CFTC Orders Morgan Stanley & Co. LLC to Pay a $300,000 Civil Monetary Penalty for Violations of Customer Protection Rule for Cleared Swaps and Related Supervision Failures Other enforcement

CFTC release 7209-15 · 2015-08-07 · view on cftc.gov ↗

Key facts

Release number: 7209-15
Release date: 2015-08-07
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7209-15

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.