International derivative CME Group has published a Disciplinary Action Notification on RJ O’Brien & Associates, LLC.
According to a settlement offer in which RJ O’Brien & Associates, LLC (RJO) did not admit or denied the rule of breach or the actual finding that the penalty is based on the calculation of the Dollar, time-time (DWTTM) of the investment of separate customers and secured capital.
As a result, the DWTTM of the customer’s secured investment exceeded the 24 -month threshold in many days from May 3, 2024 to October 21, 2024.
The table concluded that Rjo thus violated CME Rule 971.A.
According to the settlement offer, the team ordered Rjo to pay a fine of $ 75,000.
The date of entry into force of the disciplinary notice is June 26, 2025.