# CFTC Orders Chicago-based E*TRADE Securities LLC and E*TRADE Clearing LLC to Pay a $280,000 Civil Monetary Penalty for Failure to Retain Required Records and Failure to Diligently Supervise

> CFTC release 7521-17 · 2017-01-26 · **Other enforcement** · ENFORCEMENT

## Key facts

- **Release number:** 7521-17
- **Release date:** 2017-01-26
- **Type:** Other enforcement
- **Title:** CFTC Orders Chicago-based E*TRADE Securities LLC and E*TRADE Clearing LLC to Pay a $280,000 Civil Monetary Penalty for Failure to Retain Required Records and Failure to Diligently Supervise
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/7521-17

## What this is

CFTC enforcement actions cover derivatives + commodities + crypto fraud cases. The Commission charges market participants under the Commodity Exchange Act for spoofing, manipulation, fraud, wash trades, registration violations, and pool-operator misconduct. Most actions settle with restitution + civil money penalty + a bar/suspension.


## Citation

> US Commodity Futures Trading Commission, press release 7521-17, "CFTC Orders Chicago-based E*TRADE Securities LLC and E*TRADE Clearing LLC to Pay a $280,000 Civil Monetary Penalty for Failure to Retain Required Records and Failure to Diligently Supervise", 2017-01-26. Retrieved via AI Analytics 2026-07-15 from https://api.ai-analytics.org/cftc-action/7521-17.

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