CFTC Orders Vision Financial Markets LLC to Pay Penalty for Violations of Fund Segregation Requirements

The CFTC issued an Order filing and settling charges against Vision Financial Markets LLC ("Vision"), a registered FCM and broker-dealer, for failing to segregate commodity and options customer funds, failing to notify the CFTC and Vision's designated self-regulatory organization of its under-segregation, and making misstatements to the CFTC about the location and manner in which the customer funds were being held.

See: CFTC Order Against Vision; CFTC Press Release.