Chicago-Based R.J. O’Brien & Associates, LLC Sanctioned $300,000 for Supervision Violations
01/02/2013 02:32 PM EST
The CFTC issued an order filing and settling charges against R.J. O’Brien & Associates, LLC, of Chicago, Ill., a registered Futures Commission Merchant, for failing to diligently supervise its employees in connection with the handling of commodity futures orders.
http://links.govdelivery.com/track?type=click&enid=ZWFzPTEmbWFpbGluZ2lkPTIwMTMwMTAyLjEzOTE0NzYxJm1lc3NhZ2VpZD1NREItUFJELUJVTC0yMDEzMDEwMi4xMzkxNDc2MSZkYXRhYmFzZWlkPTEwMDEmc2VyaWFsPTE3MzMyMTk5JmVtYWlsaWQ9amltdGFrZWRhQGdtYWlsLmNvbSZ1c2VyaWQ9amltdGFrZWRhQGdtYWlsLmNvbSZmbD0mZXh0cmE9TXVsdGl2YXJpYXRlSWQ9JiYm&&&100&&&http://www.cftc.gov/PressRoom/PressReleases/pr6490-13.html
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Chicago-Based R.J. O’Brien & Associates, LLC Sanctioned $300
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Chicago-Based R.J. O’Brien & Associates, LLC Sanctioned $300
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