Company: EUO
Filing Date: 2025-03-28
Form Type: 424B3
Source: 0001193125-25-065648
Chunk: 227

Company: ProShares Trust II
Filing Date: 2025-03-28
Form: 424B3
Chunk 227
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 of the Firm. Judgment was entered in favor of the Firm in the amount of $1,762,266.57, plus prejudgment interest and attorney’s fees and costs. On September 29, 2021, the Firm received an Opinion and Order in which the judge awarded the Firm $1,402,234.32 in attorneys’ fees and costs. Included by the Sponsor from the NFA Website and/or the SEC Website, and not provided by Marex Capital Markets, Inc. ICE Case #: 2024-008. Marex Capital Markets, Inc. was issued a summary fine in the amount of $10,000 for violating Rule 2.12 by reporting inaccurate open interest for the March 2024 Cotton No. 2 futures contract for trade dates February 20, 21 and 22, 2024. ICE Case #: 2023-011. On April 17, 2024, a subcommittee of the Exchange’s Business Conduct Committee (“BCC”) determined that from July 2022 through May 2023 (the “Relevant Period”), Marex Capital Markets, Inc. (“MCM”) may have violated Exchange Rule 4.15(b) in multiple instances by failing to assign a particular customer with its own unique identifications and instead allowing employees to improperly use and share Marex-affiliated identifications with such customer for certain block trades reported to the Exchange. The BCC also determined that, during the Relevant Period, MCM may have violated Exchange Rule 4.07(c) in multiple instances by submitting block trades with incorrect market participant identifications. Lastly, the BCC determined that, during the Relevant Period, MCM may have violated Exchange Rule 4.01(a) by failing to diligently supervise the block trade activities of its employees and Exchange Rule 4.01(b) by failing to establish, administer, and enforce supervisory systems, policies and procedures, which are reasonably designed to achieve compliance with Exchange Rules. ICE Case #: 2023-021. On February 23, 2024, Marex Capital Markets, Inc. was issued a summary fine in the amount of $5,000 for violating Rules 4.19(c)(ii)(2) and 4.19(e) by failing to maintain the required order message data. CME Case #: 23-CH-2309. Pursuant to an offer of settlement in which Marex Capital Markets Inc. neither admitted nor denied the rule violations upon which the penalty is based, on March