Displaying results 71 - 80 of 200
… Respectively, and Bans Them from Trading for 6 Months for Spoofing in U.S. Treasury Futures Markets Each Trader Placed … charges against Stephen Gola and Jonathan Brims for spoofing — bidding or offering with the intent to cancel the … violating the Commodity Exchange Act’s prohibition against spoofing, as charged. The Orders find that, between July 16, …
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… and 3Red Trading LLC to Pay $2.5 Million Penalty for Spoofing and Employment of a Manipulative and Deceptive … that the Defendants engaged in a manipulative and deceptive spoofing scheme while trading at least five different … and CFTC Regulations adopted pursuant to the CFTC’s anti-spoofing and expanded anti-fraud and anti-manipulation …
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… Bans Him from Trading in CFTC-Regulated Markets for Spoofing in the Gold, Silver, Copper, and Crude Oil Futures … York, New York for engaging in thousands of incidents of “spoofing” — bidding or offering with the intent to cancel … violating the Commodity Exchange Act’s prohibition against spoofing. The Order further permanently bans Posen from …
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… His Proprietary Trading Company, 3 Red Trading LLC, with Spoofing and Employment of a Manipulative and Deceptive … 3 Red Trading LLC (3 Red), both of Chicago, Illinois, with spoofing and employment of a manipulative and deceptive … and repeatedly engaged in a manipulative and deceptive spoofing scheme while trading in at least five futures …
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El Programa de Denuncias de la CFTC,…
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… resolutions addressed a variety of misconduct, including spoofing and swap dealer reporting and compliance. In all … talk through a few examples now. The first example is our spoofing resolutions. To take just a few of them, in our 2019 spoofing resolution with Mitsubishi involving hundreds of …
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… Manipulation, Attempted Manipulation, False Reporting, Spoofing, and/or Manipulative or Deceptive Device FY 2018 … (N.D. Ill. filed Jan. 28, 2018); aiding and abetting spoofing and a manipulative and deceptive scheme; litigated; … Zhao, No. 1:18-cv-00620 (N.D. Ill. filed Jan. 28, 2018); spoofing and a manipulative and deceptive scheme; litigated; …
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… the character of, or is commonly known to the trade as, ``spoofing'' (bidding or offering with the intent to cancel … around the closing period''), section 747(C) (``spoofing''), the role of executing brokers, and the … of transactions,'' \19\ ``closing period,'' \20\ and ``spoofing.'' \21\ The comment letters reiterated this concern …
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… CFTC Orders JPMorgan to Pay Record $920 Million for Spoofing and Manipulation (Sept. 29, 2020), CFTC Orders JPMorgan to Pay Record $920 Million for Spoofing and Manipulation | CFTC . At the time of the … 2020), CFTC Orders JPMorgan to Pay Record $920 Million for Spoofing and Manipulation | CFTC . In connection with the …
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… its supervision obligations for failing to ensure its spoofing surveillance tool was operating effectively. ANZ … CFTC staff that a surveillance tool ANZ used to monitor for spoofing activity by its traders was not operating … result, thousands of orders were not timely surveilled for spoofing and ANZ should have, but did not receive a …
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