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Violation Tracker Individual Record

Company: INTL FCStone Financial Inc.
Current Parent Company: StoneX Group
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Penalty: $280,000
Year: 2017
Date: November 14, 2017
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: The Commodity Futures Trading Commission issued an order filing and settling charges against FCStone Merchant Services LLC for entering into multiple noncompetitive trades and against INTL FCStone Financial Inc., a registered Futures Commission Merchant based in Chicago, for reporting non-bona fide prices to the Chicago Mercantile Exchange (CME) between December 2013 and March 2014.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: commodities brokerage
Source of Data: (click here)
Archived Source: (click here)
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.