CFTC Charges Florida Resident Todd Owen Marshall and His Companies Harvard Assets LLC, London Assets Inc., and Harvard International Trading, Inc. with Engaging in Illegal, Off-Exchange Precious Metals Transactions and Registration Violations Registration / supervisory violation

CFTC release 7250-15 · 2015-09-30 · view on cftc.gov ↗

Key facts

Release number: 7250-15
Release date: 2015-09-30
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7250-15

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.