GFI Securities gets a slap on the wrist for alleged violations of CME rules
GFI Securities Limited has agreed to pay a $55,000 fine for alleged violations of CME and NYMEX rules.
NYMEX
Oil Brokerage gets a slap on the wrist for NYMEX rule violations
On 26 occasions in May 2023, Oil Brokerage Limited did not report block trades timely to the Exchange.
CME fines, suspends trader for engaging in disruptive practices
Jun-Ming Lai entered orders in the June 2020 COMEX Gold futures markets with the intent, at the time of order entry, to cancel the orders to avoid execution.
Tullett Prebon (Europe) to pay $150,000 fine for violating NYMEX rules
Tullett Prebon (Europe) Ltd neither admitted nor denied the rule violations or factual allegations upon which the penalty is based.
CME fines Millennium Management for alleged rule violations
In accordance with the settlement offer, the Panel ordered Millennium Management LLC to pay a $90,000 fine.
CME fines Challenger Life Company for alleged NYMEX rule violations
In accordance with the settlement offer, the Panel ordered Challenger to pay a fine to the Exchange in the amount of $60,000.
Citadel Advisors gets a slap on the wrist for alleged NYMEX rule violation
In accordance with the settlement offer, NYMEX Panel ordered Citadel to pay a fine to the Exchange in the amount of $20,000.
Clarksons Platou Futures to pay $60,000 fine for alleged violation of NYMEX rules
In accordance with the settlement offer, the NYMEX Business Conduct Committee ordered Clarksons to pay a $60,000 fine.
Virtu Americas to pay $75,000 fine for alleged violations of CME rules
Virtu Americas LLC (VAL) has agreed to pay a $75,000 fine in line with its offer of settlement with CME Group.
Deutsche Bank gets a slap on the wrist for CME reporting infractions
Deutsche Bank AG, pursuant to Rule 512 (“Reporting Infractions”), was issued a $2,000 fine pursuant to its violations of Rule 538.I.
