Basic Search
|
Summaries
|
Advanced SearchViolation Tracker Individual Record
Company: Tradewale LLC and Tradewale Managed Fund
Penalty: $2,853,810
Year: 2023
Date: December 28, 2023
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: fraudulently soliciting members of the public for investments in a purported retail off-exchange foreign currency fundÂ
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
Source of Data:
(click here)
Source Notes: If an online information source is not working, check the Violation Tracker
Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the
Update Log.