CFTC Orders Morgan Stanley & Co. LLC to Pay $500,000 for Supervision Failures Other enforcement

CFTC release 7621-17 · 2017-09-29 · view on cftc.gov ↗

Key facts

Release number
7621-17
Release date
2017-09-29
Type
Other enforcement
Primary source
https://www.cftc.gov/PressRoom/PressReleases/7621-17

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.