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The CFTC and NFA say that R.J. O’Brien & Associates should have done a better job of detecting a client that allegedly engaged in a post-execution trade allocation scheme.
Futures broker and clearing firm R.J. O’Brien & Associates (RJO) will pay a total of $750,000 — via a $600,000 penalty to the CFTC and a $150,000 fine to the National Futures Association (NFA) — to settle charges that the firm failed to supervise staff members overseeing customer accounts and violated the terms of a...
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