Displaying results 1 - 10 of 198
Federal Court Sanctions Nevada Metals Trader for Spoofing in Gold and Silver Markets
… charges that Daniel Shak of Las Vegas, Nevada engaged in spoofing and in a manipulative and deceptive scheme in the … Shak from further violations of 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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Statement of Commissioner Caroline D. Pham on Spoofing in Voice Brokered Swaps Markets
… the first time that the Commission will find a violation of spoofing in voice brokered swaps markets under Section … 4c(a)(5)(C) of the Act, 7 U.S.C. Section 6c(a)(5)(C) (“anti-spoofing provision”). Because this is a case of first … of the need to distinguish legitimate trading activity from spoofing, the Commission engaged in substantial  …
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CFTC Charges Texas Firm and Head Trader with Spoofing and Engaging in a Manipulative and Deceptive Scheme and Violating a Prior CFTC Order
… Advisors LLC  and Andrew Serotta , charging them with spoofing, engaging in a manipulative and deceptive scheme, … it for supervision failures relating to an employee’s spoofing. Here we are again. As alleged, Logista and its principal engaged in additional spoofing, and manipulative and deceptive conduct. The CFTC …
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CFTC Orders UK Trader to Pay $150,000 and Imposes a One-Year Trading Ban for Spoofing in WTI Futures
… trader Adam Cobb-Webb for engaging in multiple instances of spoofing in West Texas Intermediate (WTI) light sweet crude … is also ordered to cease and desist from violating the spoofing prohibition in the Commodity Exchange Act (CEA). … in a long series of actions by the Commission to punish spoofing in the markets the Commission oversees,” said …
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CFTC Charges Nevada Metals Trader with Spoofing in Gold and Silver Markets
… Daniel Shak of Las Vegas, Nevada, charging him with spoofing and engaging in a manipulative and deceptive scheme … engaged in manipulative or deceptive acts and practices by spoofing—bidding or offering with the intent to cancel the … in connection with the CFTC Division of Enforcement’s Spoofing Task Force. The Division of Enforcement staff …
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CFTC Orders California Trader and Prop Firm to Pay $750,000 for Spoofing in Treasury Futures
… a proprietary trading firm headquartered in California, for spoofing in 12 futures contracts—primarily, but not … and desist from violating the Commodity Exchange Act’s spoofing prohibition. In addition, the order against Tanius … action demonstrates the CFTC will not tolerate acts of spoofing, which threaten the integrity of the derivatives …
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CFTC Orders Chicago Trader to Pay $100,000 for Spoofing in Natural Gas and RBOB Futures
… Chicago, Illinois,   for engaging in multiple instances of spoofing. Specifically, the order finds that Schwartz … also ordered to cease and desist from violating the CEA’s spoofing prohibition. Related Disciplinary Action The CFTC’s … … 8577-22 … CFTC Orders Chicago Trader to Pay $100,000 for Spoofing in Natural Gas and RBOB Futures …
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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 Charges Trader with Spoofing in Financial Futures Markets
… July 31, 2019 CFTC Charges Trader with Spoofing in Financial Futures Markets Washington, DC — The … floor broker based in Chicago, Illinois, for engaging in spoofing in the Chicago Mercantile Exchange (CME) E-mini S&P … as well as entities, who engage in the unlawful practice of spoofing.  We will continue to work closely with our …
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Investor Alert: Relationship Investment Scams
… Scam Stranger Texts: Don’t Answer Unsolicited Messages Spoofing/Phishing Scams FinCEN Reminds the Public to be Wary …
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