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Violation Tracker Individual Record

Company: DARMA, LLC
Penalty: $150,000
Year: 2023
Date: March 21, 2023
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: The Commodity Futures Trading Commission issued an order simultaneously filing and settling charges againstDARMA, LLC, a registered commodity pool operator and commodity trading advisor located in Puerto Rico, for violating CFTC regulations for supervision and reporting.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
Facility State: Puerto Rico
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.