CFTC stings Pioneer for record-keeping lapses
NEWS
The commission issued an order filing and simultaneously settling charges against Pioneer last Wednesday (March 7), for failing to produce trading records upon request.
An investigation of trading at the Chicago Mercantile Exchange and requests for documents from the CFTC's division of enforcement, found that Pioneer had failed to produce trading cards of two local traders when asked. Pioneer also failed to provide trading records relating to customer orders filled by floor brokers on behalf of
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