{"id":892312,"date":"2018-07-30T21:38:00","date_gmt":"2018-07-30T21:38:00","guid":{"rendered":"http:\/\/juniorminingnews.com\/?p=892312"},"modified":"2018-07-30T21:38:00","modified_gmt":"2018-07-30T21:38:00","slug":"cftc-fines-r-j-obrien-associates-600k-for-supervisory-failures-2","status":"publish","type":"post","link":"https:\/\/juniorminingnews.com\/?p=892312","title":{"rendered":"CFTC fines R.J. O\u2019Brien &amp; Associates $600k for supervisory failures"},"content":{"rendered":"<div>\n<div>\n<div>The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against R.J. O&#8217;Brien &amp; Associates LLC (RJO) of Chicago, for failure to diligently supervise its employees&#8217; handling of customer accounts and for violating the terms of a prior Commission Order.  At all relevant times, RJO was registered with the Commission as a Futures Commission Merchant.<\/div>\n<\/div>\n<\/div>\n<p> <a href=\"http:\/\/www.futuresmag.com\/2018\/07\/30\/cftc-fines-rj-o%E2%80%99brien-associates-600k-supervisory-failures\" target=\"_blank\" id=\"rssmi_more\"> &#8230;read more<\/a> <\/p>\n<p>From:: <a href=\"http:\/\/www.futuresmag.com\/2018\/07\/30\/cftc-fines-rj-o%E2%80%99brien-associates-600k-supervisory-failures\" target=\"_blank\" title=\"CFTC fines R.J. O\u2019Brien &amp; Associates $600k for supervisory failures\">Resource Investor<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against R.J. O&#8217;Brien &amp; Associates LLC (RJO) of Chicago, for failure to diligently supervise its employees&#8217; handling of customer accounts and for violating the terms of a prior Commission Order. At all relevant times, RJO was registered with the Commission [&hellip;]<\/p>\n","protected":false},"author":1,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"site-sidebar-layout":"default","site-content-layout":"","ast-site-content-layout":"","site-content-style":"default","site-sidebar-style":"default","ast-global-header-display":"","ast-banner-title-visibility":"","ast-main-header-display":"","ast-hfb-above-header-display":"","ast-hfb-below-header-display":"","ast-hfb-mobile-header-display":"","site-post-title":"","ast-breadcrumbs-content":"","ast-featured-img":"","footer-sml-layout":"","theme-transparent-header-meta":"","adv-header-id-meta":"","stick-header-meta":"","header-above-stick-meta":"","header-main-stick-meta":"","header-below-stick-meta":"","astra-migrate-meta-layouts":"default","ast-page-background-enabled":"default","ast-page-background-meta":{"desktop":{"background-color":"","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-gradient":""},"tablet":{"background-color":"","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-gradient":""},"mobile":{"background-color":"","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-gradient":""}},"ast-content-background-meta":{"desktop":{"background-color":"var(--ast-global-color-5)","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-gradient":""},"tablet":{"background-color":"var(--ast-global-color-5)","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-gradient":""},"mobile":{"background-color":"var(--ast-global-color-5)","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-gradient":""}},"footnotes":""},"categories":[368],"tags":[],"_links":{"self":[{"href":"https:\/\/juniorminingnews.com\/index.php?rest_route=\/wp\/v2\/posts\/892312"}],"collection":[{"href":"https:\/\/juniorminingnews.com\/index.php?rest_route=\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/juniorminingnews.com\/index.php?rest_route=\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/juniorminingnews.com\/index.php?rest_route=\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/juniorminingnews.com\/index.php?rest_route=%2Fwp%2Fv2%2Fcomments&post=892312"}],"version-history":[{"count":0,"href":"https:\/\/juniorminingnews.com\/index.php?rest_route=\/wp\/v2\/posts\/892312\/revisions"}],"wp:attachment":[{"href":"https:\/\/juniorminingnews.com\/index.php?rest_route=%2Fwp%2Fv2%2Fmedia&parent=892312"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/juniorminingnews.com\/index.php?rest_route=%2Fwp%2Fv2%2Fcategories&post=892312"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/juniorminingnews.com\/index.php?rest_route=%2Fwp%2Fv2%2Ftags&post=892312"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}