CFTC Orders Wisconsin Resident and Company to Pay Over $190,000 for Failing to Register as an Introducing Broker and Other Violations Other enforcement

Key facts

Release number

8597-22

Release date

2022-09-26

Type

Other enforcement

Primary source

https://www.cftc.gov/PressRoom/PressReleases/8597-22

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.