CFTC-PR-8880-24

CFTC-PR-8880-24

CFTC Orders U.S. Bank to Pay $6 Million and Oppenheimer to Pay $1 Million for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved Communication Methods

PR-8880-24

Date: Mar. 19, 2024

Date Accessed: Aug. 1, 2024

Source URL:  https://www.cftc.gov/PressRoom/PressReleases/8880-24

Categories:

• CFTC-2403
• Introducing Brokers
• Recordkeeping Failures
• Supervision Failures
• Swap Dealers
• Unapproved Communications
• OPPENHEIMER & CO. INC.
• U.S. BANK N.A.

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