Displaying results 11 - 20 of 200
CFTC Releases FY 2024 Enforcement Results
… In addition to disruptive trading, which includes spoofing, the CFTC also investigates and prosecutes other …
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Statement of Commissioner Kristin N. Johnson Regarding CFTC Orders Against HSBC for Fraudulent and Manipulative Swaps Trading and Spoofing, and for Recordkeeping and Supervision Failures
… (HSBC) for fraudulent and manipulative swaps trading and spoofing; and (ii) HSBC, HSBC Securities (USA) Inc., and … for the fraudulent and manipulative swaps trading and spoofing, and related violations, and the HSBC Affiliates to … HSBC’s fraudulent and manipulative swaps trading and spoofing constitute severe betrayals of client trust, …
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CFTC Orders Australian Company to Pay $1 Million for Spoofing 
… 2020   CFTC Orders Australian Company to Pay $1 Million for Spoofing  Washington, D.C. — The Commodity Futures Trading … a proprietary trading firm headquartered in Australia, for spoofing in the Chicago Mercantile Exchange E-mini S&P 500 … finds that Propex, through a former trader, engaged in spoofing from at least July 2012 through March 2017, causing …
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Federal Court Sanctions Australian Trader for Spoofing and Engaging in a Manipulative and Deceptive Scheme
… Jiongsheng Zhao , a trader based in Australia, engaged in spoofing and manipulation in the Chicago Mercantile Exchange … cease and desist from violating the CEA’s prohibitions on spoofing and manipulation. This case was brought in connection with the Division of Enforcement’s Spoofing Task Force. The consent order resolves the CFTC’s …
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检举者警报
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CFTC Orders JPMorgan to Pay Record $920 Million for Spoofing and Manipulation
… JPM), for manipulative and deceptive conduct and spoofing that spanned at least eight years and involved … is brought in connection with the Division of Enforcement’s Spoofing Task Force.                      The order finds … and civil monetary penalty ( $436,431,811) amounts in any spoofing case. “Spoofing is illegal—pure and simple,” said …
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CFTC Charges Proprietary Trader with Spoofing in Soybean Futures Markets
… CFTC Charges Proprietary Trader with Spoofing in Soybean Futures Markets January 31, 2019 … a trader at a proprietary trading firm, for engaging in spoofing in the Chicago Mercantile Exchange (CME) soybeans … in connection with the CFTC Division of Enforcement’s Spoofing Task Force, and the staff members responsible for …
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Federal Court Sanctions Slovakian Trader and His Principals for Spoofing and Engaging in a Manipulative and Deceptive Scheme
… and their company, BAZUR Spol. S.R.O. (BAZUR), engaged in spoofing and in a manipulative and deceptive scheme to … cease and desist from violating the CEA’s prohibitions on spoofing and manipulative and deceptive schemes to defraud. … engaged in manipulative or deceptive acts and practices by spoofing (bidding or offering with the intent to cancel the …
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CFTC Orders Minnesota Registrant to Pay $550,000 for Cross-Product, Cross-Calendar, and Single-Product Spoofing in Soybean Complex Futures
… trading advisor (CTA), headquartered in Minnesota, for spoofing by a former trader in soybean futures, soybean meal … the CFTC’s commitment to vigorously detect unlawful spoofing conduct, particularly when traders seek to avoid detection by engaging in cross-product spoofing,” said Acting Director of Enforcement Gretchen …
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CFTC Orders South Korean Company to Pay $700,000 for Spoofing
… 2020 CFTC Orders South Korean Company to Pay $700,000 for Spoofing Washington, DC – The Commodity Futures Trading … settling charges against Mirae Asset Daewoo Co ., Ltd . for spoofing in the Chicago Mercantile Exchange (CME) E-mini S&P … Co . Ltd .—a company Mirae acquired following the spoofing conduct at issue—engaged in the spoofing through a …
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