Violation Tracker Individual Record
Date:December 7, 2011
Primary Offense:securities issuance or trading violation
The U.S. Commodity Futures Trading Commission announced that Merrill Lynch Commodities, Inc. agreed to pay a $350,000 civil monetary penalty to settle CFTC charges that it exceeded speculative position limits in Cotton No. 2 futures contracts.
Level of Government:federal
Action Type:agency action
Agency:Commodity Futures Trading Commission
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:North Carolina
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking
Source of Data:
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