CFTC Orders Los Angeles Futures Commission Merchant to Pay $6 Million for Recordkeeping, Supervision Failures
August 09, 2023
August 09, 2023
WASHINGTON, Aug. 9 -- The Commodity Futures Trading Commission issued the following enforcement news release on Aug. 8, 2023:
The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Wedbush Securities Inc., a Los Angeles, California-based registered futures commission merchant, for failing to maintain, preserve, or produce records required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise m . . .
The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Wedbush Securities Inc., a Los Angeles, California-based registered futures commission merchant, for failing to maintain, preserve, or produce records required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise m . . .