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Violation Tracker Individual Record

Company: Tyche Asset Management LLC et al.
Penalty: $21,308,692
Year: 2023
Date: November 15, 2023
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The FVTC found the Tyche liable for fraudulently soliciting investments in a purported commodity pool, misappropriating pool participants' funds; violating CFTC regulations governing the proper operation of commodity pools; and making false and misleading statements to the National Futures Association.
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.