# Merrill Lynch Ordered to Pay $300,000 Penalty for Failing to Promptly Produce Audit Trail Data

> CFTC release 8005-19 · 2019-09-10 · **Other enforcement** · ENFORCEMENT

## Key facts

- **Release number:** 8005-19
- **Release date:** 2019-09-10
- **Type:** Other enforcement
- **Title:** Merrill Lynch Ordered to Pay $300,000 Penalty for Failing to Promptly Produce Audit Trail Data
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/8005-19

## 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 8005-19, "Merrill Lynch Ordered to Pay $300,000 Penalty for Failing to Promptly Produce Audit Trail Data", 2019-09-10. Retrieved via AI Analytics 2026-06-15 from https://api.ai-analytics.org/cftc-action/8005-19.

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