CFTC Orders BNP Paribas Securities Corp. to Pay a $140,000 Penalty to Settle Charges of Improper Investment of Customer Segregated Funds Settlement

CFTC release 7265-15 · 2015-10-21 · view on cftc.gov ↗

Key facts

Release number
7265-15
Release date
2015-10-21
Type
Settlement
Primary source
https://www.cftc.gov/PressRoom/PressReleases/7265-15

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.