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July 30, 2018
NFA orders Chicago, Ill. futures commission merchant R.J. O'Brien & Associates LLC to pay a $150,000 fine
July 30, Chicago—NFA has ordered Chicago, Ill. futures commission merchant R.J. O'Brien & Associates LLC (RJO) to pay a $150,000 fine.
The Decision, issued by NFA's Business Conduct Committee (BCC), is based on a Complaint issued by the BCC and a settlement offer submitted by RJO. The BCC found that RJO failed to have adequate supervisory measures to monitor for and detect unusual allocation activity and to ensure that when NFA issues a Member Responsibility Action that RJO does not allow violations of the MRA to occur.
NFA thanks the CME Group and the CFTC for their assistance in this matter.