CFTC Charges Wisconsin Firm and its Manager with Registration, Disclosure, and Recordkeeping Violations Registration / supervisory violation

CFTC release 8279-20 · 2020-10-07 · view on cftc.gov ↗

Key facts

Release number: 8279-20
Release date: 2020-10-07
Type: Registration / supervisory violation
Primary source: https://www.cftc.gov/PressRoom/PressReleases/8279-20

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.