CFTC Orders Vision Financial Markets LLC to Pay a $200,000 Penalty to Settle Charges That It Failed To Supervise Its Employees
July 12, 2019
July 12, 2019
WASHINGTON, July 12 -- The Commodity Futures Trading Commission issued the following enforcement news release:
The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Vision Financial Markets LLC (Vision), a securities broker dealer located in Stamford, Connecticut. From at least May 1990 until April 2015, Vision was a registered futures commission merchant (FCM) and commodity pool operator. The Order requires Vision to pay a civil m . . .
The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Vision Financial Markets LLC (Vision), a securities broker dealer located in Stamford, Connecticut. From at least May 1990 until April 2015, Vision was a registered futures commission merchant (FCM) and commodity pool operator. The Order requires Vision to pay a civil m . . .