CFTC Orders J.P. Morgan Securities LLC to Pay $900,000 for Supervision Failures Other enforcement

CFTC release 7511-17 · 2017-01-12 · view on cftc.gov ↗

Key facts

Release number
7511-17
Release date
2017-01-12
Type
Other enforcement
Primary source
https://www.cftc.gov/PressRoom/PressReleases/7511-17

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.