CFTC Orders R.J. O’Brien & Associates LLC to Pay a $600,000 Civil Monetary Penalty for Supervisory Failures and Violation of a Prior Commission Order Other enforcement

CFTC release 7764-18 · 2018-07-30 · view on cftc.gov ↗

Key facts

Release number: 7764-18
Release date: 2018-07-30
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/7764-18

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.