# CFTC Orders Chief Compliance Officer of Trading Firm to Pay 150,000 for Fraud and False Statements to a Self-Regulatory Organization

> CFTC release 8007-19 · 2019-09-12 · **Fraud** · ENFORCEMENT

## Key facts

- **Release number:** 8007-19
- **Release date:** 2019-09-12
- **Type:** Fraud
- **Title:** CFTC Orders Chief Compliance Officer of Trading Firm to Pay 150,000 for Fraud and False Statements to a Self-Regulatory Organization
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/8007-19

## 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 8007-19, "CFTC Orders Chief Compliance Officer of Trading Firm to Pay 150,000 for Fraud and False Statements to a Self-Regulatory Organization", 2019-09-12. Retrieved via AI Analytics 2026-05-20 from https://api.ai-analytics.org/cftc-action/8007-19.

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