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CFTC Releases Annual Enforcement Results for Fiscal Year 2015
… CFTC filed 69 enforcement actions focusing on manipulation, spoofing and fraud and ensuring market participants meet … enforcement of the Commodity Exchange Act’s (CEA) anti-spoofing clause, including its action, along with the U.S. … billion. Enforcement Program Highlights Fiscal Year 2015 Spoofing and Manipulation, Attempted Manipulation Two of the …
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Remarks of Commissioner Dan M. Berkovitz before the National Cattlemen’s Beef Association, Denver, Colorado
… monitoring markets for manipulative behavior, preventing spoofing, quote stuffing, and layering, and generally … The CFTC’s aggressive enforcement activities against spoofing demonstrate our commitment to policing trading in these markets.  The CFTC has litigated or settled 27 spoofing cases since receiving spoofing enforcement …
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CFTC Division of Enforcement Issues Annual Report for FY 2019
… the most significant commodities fraud, manipulation, and spoofing cases in the history of the agency,” said CFTC … CFTC filed more cases involving manipulative conduct and spoofing than any prior year but one — which was FY 2018.  … charges of commodities fraud, manipulative conduct, or spoofing—violations that strike at the heart of market …
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CFTC Division of Enforcement Issues Annual Report
… number of enforcement actions brought (113), the largest spoofing penalties ever assessed, and the most retail fraud … and civil monetary penalty ($436,431,811) amounts in a spoofing case. The most retail fraud actions (56) in a …
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Enforcement Director Aitan Goelman to Leave CFTC
… Under his leadership, we have won path-breaking cases in spoofing and manipulation, protected investors from … of the new Dodd-Frank authorities, including the anti-spoofing provision, the new anti-manipulation authority in … matters like the successful prosecution of Nav Sarao for spoofing and manipulation. The Division’s close working …
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Speech of Enforcement Director James M. McDonald Regarding Enforcement trends at the CFTC, NYU School of Law: Program on Corporate Compliance & Enforcement
… to undermine market integrity—misconduct like manipulation, spoofing, and disruptive trading. These cases are complex, … was the announcement of the parallel actions involving spoofing and manipulative conduct we filed together with the … and six individuals for manipulative conduct and spoofing, including the largest civil monetary penalty ever …
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Remarks of Commissioner Mark P. Wetjen before the Global Derivatives Trading & Risk Management Conference, Amsterdam, The Netherlands
… (E-minis), and engaged in disruptive trading known as “spoofing” on the exchange (i.e., bidding or offering with … wire fraud, manipulation, attempted manipulation, and spoofing. The complaints allege that Sarao used … In order to detect other types of manipulation like spoofing, layering, and flipping, plus new types of gaming …
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Supporting Statement of Commissioner Dan M. Berkovitz Regarding Historic Penalty against JPMorgan and Opposing “Bad Actor” Waiver
… harm described in the Order is unparalleled among prior spoofing cases brought by the Commission.  This enforcement …
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Keynote Address of Director of Enforcement James M. McDonald at the Practising Law Institute's White Collar Crime 2019 Program
… trend shows up in cases involving market manipulation and spoofing.  Again, to highlight a couple of recent examples:  … Inc. , the CFTC brought charges including manipulation and spoofing in the precious metals futures markets.  In the … traders at a major U.S. bank with manipulative conduct and spoofing, also in the precious metals futures markets. [15] …
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Written Testimony of Chairman J. Christopher Giancarlo before the U.S. House Committee on Appropriations Subcommittee on Agriculture, Rural Development and Related Agencies, Washington, D.C.
… included significant actions to root out manipulation and spoofing and to protect retail investors from fraud. The … complex litigation, including cases charging manipulation, spoofing, and unlawful use of customer funds. One-third of … Enforcement Actions Manipulation, Attempted Manipulation, Spoofing, and/or Manipulative or Deceptive Device FY 2018 …
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