A California app developer and its Philippines-based affiliate settled SEC and CFTC charges for improper sales of security-based swaps.
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A futures commission merchant settled NFA charges for failing to compensate retail forex customers whose orders were adversely affected by an ongoing malfunction in the firm's electronic trading platform.
JP Morgan Securities LLC, a registered futures commission merchant and swap dealer, agreed to pay a civil monetary penalty to settle CFTC charges that it failed to maintain adequate systems for reconciling exchange and clearing fees for trading of Chicago Mercantile Exchange products.