September 30, 2013 BY Gerald Segal
RJ O'Brien and Vision Financial fined for client fund segregation issues
RJO fined $125,000 and Vision Financial $525,000, both related to handling of client funds. Futures brokers RJ O'Brien (RJO) and Vision Financial Markets LLC were each sanctioned by the CFTC for issues tied to client funds. RJO's $125,000 fine was for commingling secured foreign futures and options customer funds, with segregated domestic futures and options customer…
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