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CFTC Orders JPMorgan To Pay $75 Million For Widespread Use By Employees Of Unapproved Communication Methods And Related Recordkeeping And Supervision Failures - JPMorgan Admits Employees Used Texts And WhatsApp on Personal Devices To Conduct Business

Published: December 17, 2021

The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against JPMorgan Chase Bank, N.A., J.P. Morgan Securities LLC, and J.P. Morgan Securities plc (collectively, JPMorgan), for failing to maintain, preserve, and produce records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to its businesses as CFTC registrants.

Source: mondovisione.com

CFTC Charges Energy Broker, Its Owners, and Affiliated Firms with Fraud, Unauthorized Trading, and Supervision Violations

Published: October 20, 2021

<p><span>The Commodity Futures Trading Commission announced today that it has filed a civil enforcement action in the U.S. District Court for the Northern District of Texas against Coquest Inc., a registered introducing broker (IB), and its owners Dennis Weinmann and John Vassallo, and their trading firms Buttonwood LLC and Weva Properties Ltd., all of Dallas, Texas.</span></p>

Source: mondovisione.com

CFTC: Federal Court Orders Interdealer Broker To Pay $7 Million For Deceptive Trading Practices In The FX Options Markets - Former CEO And Desk Head Ordered To Pay $500,000 Each For Supervision Failures

Published: December 14, 2020

CFTC: Federal Court Orders Interdealer Broker To Pay $7 Million For Deceptive Trading Practices In The FX Options Markets - Former CEO And Desk Head Ordered To Pay $500,000 Each For Supervision Failures Date 14/12/2020 The Commodity Futures Trading Commission today announced the U.S. District Court for the Southern District of New York entered a consent order against defendants TFS-ICAP LLC and TFS-ICAP Ltd., interdealer brokers located in New York and London, requiring them to pay a $7 million civil monetary penalty for representing to clients bids and offers that had not been made, ...

Source: mondovisione.com