CFTC Charges Chairman of Board of Interdealer Broker with Supervisory Failures Other enforcement

CFTC release 7815-18 · 2018-09-28 · view on cftc.gov ↗

Key facts

Release number
7815-18
Release date
2018-09-28
Type
Other enforcement
Primary source
https://www.cftc.gov/PressRoom/PressReleases/7815-18

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.