# CFTC Charges Former Floor Broker with Misappropriating Client Funds, Registration Violations, and Making False Statements

> CFTC release 8027-19 · 2019-09-30 · **Registration / supervisory violation** · ENFORCEMENT

## Key facts

- **Release number:** 8027-19
- **Release date:** 2019-09-30
- **Type:** Registration / supervisory violation
- **Title:** CFTC Charges Former Floor Broker with Misappropriating Client Funds, Registration Violations, and Making False Statements
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/8027-19

## 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 8027-19, "CFTC Charges Former Floor Broker with Misappropriating Client Funds, Registration Violations, and Making False Statements", 2019-09-30. Retrieved via AI Analytics 2026-06-15 from https://api.ai-analytics.org/cftc-action/8027-19.

---

*[CFTC actions dataset](/datasets/cftc-actions) · CC0 1.0*