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Violation Tracker Individual Record

Company: CapitalStorm LLC at al.
Penalty: $5,200,000
Year: 2024
Date: December 11, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: A court order found that three companies acted as commodity trading advisors without being registered with the CFTC, mishandled client funds and failed to keep and maintain required books and records.
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.