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Violation Tracker Individual Record

Company: Symphony Communication Services, LLC
Penalty: $100,000
Year: 2021
Date: September 29, 2021
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Commodity Futures Trading Commission issued an order filing and simultaneously settling charges against Symphony Communication Services, LLC for failing to register as a swap execution facility (SEF). The order requires Symphony to pay a $100,000 civil monetary penalty and to cease and desist from any further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged.
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.