Action against Respondent, an energy company, for alleged registration failure. According to the CFTC, Respondent accepted orders from two clients, traded natural gas commodity futures and options based on those orders, and received fees for those orders without registering with the CFTC as a futures commission merchant. Respondent has agreed to pay a civil penalty of $75,000.
Home > Corporate and Other Issues > In re Upstream Energy Services LLC (A.P. Oct. 24, 2019, Settled)