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January 26, 2017

Posted  January 26, 2017

E*TRADE Securities LLC and E*TRADE Clearing LLC were ordered to pay a $280,000 civil monetary penalty by the CFTC for failing to failure to retain required records and failure to diligently supervise. The CFTC found that between October 2009 and January 2014, E*TRADE Securities did not preserve and maintain certain audit trial logs for their customers. CFTC

Tagged in: Financial Institution Fraud, Fraud in CFTC-Regulated Markets,