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

> CFTC release 8252-20 · 2020-09-24 · **Other enforcement** · ENFORCEMENT

## Key facts

- **Release number:** 8252-20
- **Release date:** 2020-09-24
- **Type:** Other enforcement
- **Title:** CFTC Fines Houston, Chicago, and London-Based Introducing Brokers for Net Capital Deficiencies
- **Primary source:** https://www.cftc.gov/PressRoom/PressReleases/8252-20

## 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 8252-20, "CFTC Fines Houston, Chicago, and London-Based Introducing Brokers for Net Capital Deficiencies", 2020-09-24. Retrieved via AI Analytics 2026-07-09 from https://api.ai-analytics.org/cftc-action/8252-20.

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