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Violation Tracker Individual Record

Company: Golden Signals LLC
Penalty: $2,613,276
Year: 2022
Date: February 23, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: engaging in fraud while acting as a commodity trading advisor (CTA) and commodity pool operator (CPO), for failing to register as a CTA and CPO, and for advertising without making disclosures required by CFTC regulations
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.