CFTC orders J.P. Morgan Securities LLC to pay $900,000 for supervision failures LeapRate

January 12, 2017 BY Valentina Kirilova

CFTC orders J.P. Morgan Securities LLC to pay $900,000 for supervision failures

The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against J.P. Morgan Securities LLC (JPMS), a Delaware corporation headquartered in New York City, for failing to diligently supervise its officers’, employees’, and agents’ processing of exchange and clearing fees it charged customers for trading and clearing Chicago Mercantile Exchange, Inc.…

November 21, 2016 BY LeapRate Staff

CFTC reports more than $1.2 billion in fines and restitution in Fiscal 2016

US financial regulator the CFTC has issued a summary of its activity for its 2016 fiscal year (which ended September 30), indicating among other things that it more than pays for itself. The CFTC collected and deposited at the U.S. Treasury over $484 million in civil monetary penalties during the year, nearly double the CFTC’s operating…

November 06, 2015 BY Maria Nikolova

CFTC orders $3.2B in total monetary sanctions against wrongdoers in FY 2015

The U.S. Commodity Futures Trading Commission (CFTC) today published the agency’s enforcement results for fiscal year (FY) 2015, which included a record $3.144 billion in civil monetary penalties and $59 million awarded in restitution and disgorgement orders. During FY 2015, over $2.8 billion was collected and deposited at the U.S. Treasury - the highest figures…

Tag: CFTC fines