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Violation Tracker Individual Record

Company: Logista Advisors LLC
Penalty: $250,000
Year: 2017
Date: September 29, 2017
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: The Commodity Futures Trading Commission issued an Order filing and simultaneously settling charges against Logista Advisors LLC, a crude-oil-trading firm based in Houston. The Order found that from approximately September 2013 through October 2014 Logista failed to diligently supervise the handling by its employees and officers of commodity interest accounts and other activities relating to Logista's business as a CFTC registrant.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.