CFTC Fines Houston, Chicago, and London-Based Introducing Brokers for Net Capital Deficiencies Other enforcement

CFTC release 8252-20 · 2020-09-24 · view on cftc.gov ↗

Key facts

Release number
8252-20
Release date
2020-09-24
Type
Other enforcement
Primary source
https://www.cftc.gov/PressRoom/PressReleases/8252-20

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.