featured, ICE, ICE fine, Oil Brokerage
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Oil Brokerage neither admitted nor denied the alleged rule violations, but agreed to pay a monetary penalty of $185,000.
In accordance with the terms of settlement, Ciclon Trading Corporation agreed to pay a monetary penalty of $20,000.
featured, ICE, ICE fine, RJO
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R.J. O’Brien & Associates LLC (RJO) may have violated legacy Exchange Rule 2.22 by misreporting open interest in Henry LD1 Fixed Price Futures contracts.
featured, ICE, ICE fine, RJO
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R.J. O’Brien (MENA) Capital Limited may have, in multiple instances between October 2020 and April 2021, violated Exchange Rule 4.02(e).
ICE fine, Tanius Technology
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In March 2020 and April 2020, Tanius Technology operated automated trading systems (ATS) that malfunctioned in different markets.
Aspire, ICE fine, ICE Futures US
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In accordance with the terms of its settlement with ICE, Aspire agreed to pay a monetary penalty of $700,000.
Credit Suisse, Credit Suisse Securities, ICE fine, ICE Futures
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ICE fines Credit Suisse Securities (Europe) Ltd for failing to properly assign each Automated Trading System a unique identification.
ICE fine, Marex, Marex fine
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Marex brokers executed large stop-limit orders on behalf of customers with disregard for the adverse impact of such orders.
ICE fine, ICE Futures, StoneX, StoneX fine
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ICE Futures U.S. announces settlement of charges against StoneX Financial, with the company agreeing to a fine.
ICE Data, ICE fine, SEC settlement
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The SEC charged ICE Data Pricing & Reference Data LLC for compliance deficiencies relating to its delivery of prices based on single broker quotes.
