CFTC Orders Vision Financial Markets LLC to Pay a $200,000 Penalty to Settle Charges that It Failed To Supervise Its Employees
July 21, 2019
The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Vision Financial Markets LLC(Vision), a securities broker dealer located in Stamford, Connecticut. From at least May 1990 until April 2015, Vision was a registered futures commission merchant (FCM) and commodity pool operator. The Order requires Vision to pay a civil monetary penalty of $200,000 and cease and desist from any further violations of the Commodity Exchange Act or CFTC Regulations.