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Violation Tracker Individual Record

Company: MF Global Inc.
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Recap of Ownership Changes:  subscribe to see this data field
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
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.