# CFTC Orders RBC Capital Markets, LLC to Pay $5 Million for Supervisory Failures Resulting in Illegal Trades and Other Violations

> CFTC release 8034-19 · 2019-10-01 · **Other enforcement** · ENFORCEMENT

## Key facts

- **Release number:** 8034-19
- **Release date:** 2019-10-01
- **Type:** Other enforcement
- **Title:** CFTC Orders RBC Capital Markets, LLC to Pay $5 Million for Supervisory Failures Resulting in Illegal Trades and Other Violations
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/8034-19

## 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 8034-19, "CFTC Orders RBC Capital Markets, LLC to Pay $5 Million for Supervisory Failures Resulting in Illegal Trades and Other Violations", 2019-10-01. Retrieved via AI Analytics 2026-07-13 from https://api.ai-analytics.org/cftc-action/8034-19.

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