Violation Tracker Individual Record
Company:
MF Global Inc.
Current Parent Company:
MF Global
Penalty:
$10,000,000
Year:
2009
Date:
December 17, 2009
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Secondary Offense:
financial institution supervision failures
Violation Description:
The U.S. Commodity Futures Trading Commission announced the filing and simultaneous settlement of charges against MF Global Inc., a registered futures commission merchant, and its predecessor corporation, Man Financial Inc., relating to risk supervision failures in four separate instances between 2003 and 2008.
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:
New York
Ownership Structure of Parent:
out of business
Major Industry of Parent:
financial services
Specific Industry of Parent:
derivatives brokerage
Source of Data:
Source Notes:
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.
