CFTC Orders TD Bank and Cowen to Pay Civil Monetary Penalties for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved Communication Methods Other enforcement

CFTC release 8943-24 · 2024-08-14 · view on cftc.gov ↗

Key facts

Release number: 8943-24
Release date: 2024-08-14
Type: Other enforcement
Primary source: https://www.cftc.gov/PressRoom/PressReleases/8943-24

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.