Speeches & Testimony

Appendix A

 

   

CFTC Enforcement Actions

Manipulation, Attempted Manipulation, False Reporting, Spoofing, and/or Manipulative or Deceptive Device

FY 2018 (through 2/13/18)

11

FY 2017

12

FY 2016

4

FY 2015

11

FY 2014

6

FY 2013

5

FY 2012

2

FY 2011

4

Total

55

    FY 2018 (Through Feb. 13, 2018)

    1. In re Deutsche Bank Securities Inc., CFTC Docket No. 18-09 (CFTC filed Feb. 1, 2018); attempted manipulation; filed and settled; Press Release 7692-18.

    2. CFTC v. Jitesh Thakkar and Edge Financial Technologies, Inc., No. 1:18-cv-00619 (N.D. Ill. filed Jan. 28, 2018); aiding and abetting spoofing and a manipulative and deceptive scheme; litigated; Press Release 7689-18.

    3. CFTC v. Jiongsheng Zhao, No. 1:18-cv-00620 (N.D. Ill. filed Jan. 28, 2018); spoofing and a manipulative and deceptive scheme; litigated; Press Release 7688-18.

    4. CFTC v. Krishna Mohan, No. 4:18-cv-00260 (S.D. Tex. filed Jan. 28, 2018); spoofing and a manipulative and deceptive scheme; litigated; Press Release 7687-18.

    5. CFTC v. James Vorley and Cedric Chanu, No. 1:18-cv-00603 (N.D. Ill. filed Jan. 26, 2018); spoofing and a manipulative and deceptive scheme; litigated; Press Release 7686-18.

    6. CFTC v. Andre Flotron, No. 3:18-cv-00158 (D. Conn. filed Jan. 26, 2018); spoofing and a manipulative and deceptive scheme; litigated; Press Release 7685-18.

    7. In re HSBC Securities (USA) Inc., CFTC Docket No. 18-08 (CFTC filed Jan. 29, 2018); spoofing; filed and settled; Press Release 7684-18.

    8. In re UBS AG, CFTC Docket No. 18-07 (CFTC filed Jan. 29, 2018); attempted manipulation and spoofing; filed and settled; Press Release 7683-18.

    9. In re Deutsche Bank AG and Deutsche Bank Securities Inc., CFTC Docket No. 18-06 (CFTC filed Jan. 29, 2018); manipulation, attempted manipulation and spoofing; filed and settled; Press Release 7682-18.

    10. In re Statoil ASA, CFTC Docket No. 18-04 (CFTC filed Nov. 14, 2017); attempted manipulation; file and settle; Press Release 7643-17.

    11. In re Arab Global Commodities DMCC, CFTC Docket No. (CFTC filed Oct. 10, 2017); spoofing; filed and settled; Press Release 7627-17.

      FY 2017

      1. In re The Goldman Sachs Group, Inc. and Goldman , Sachs & Co. , CFTC Docket No. 17-03 (CFTC filed Dec. 21, 2016); attempted manipulation and false reporting; filed and settled; Press Release 7505-16.

      2. In re Citigroup Global Markets Inc., CFTC Docket No. 17-06 (CFTC filed Jan. 19, 2017); spoofing; filed and settled; Press Release 7516-17.

      3. In re The Royal Bank of Scotland plc, CFTC Docket No. 17-08 (CFTC filed Feb. 3, 2017); attempted manipulation; filed and settled; Press Release 7527-17.

      4. In re Stephen Gola, CFTC Docket No. 17-12 (CFTC filed Mar. 30, 2017); spoofing; filed and settled; Press Release 7542-17.

      5. In re Jonathan Brims, CFTC Docket No. 17-13 (CFTC filed Mar. 30, 2017); spoofing; filed and settled; Press Release 7542-17.

      6. In re David Liew, CFTC Docket No. 17-14 (CFTC filed June 2, 2017); manipulation, attempted manipulation and spoofing; filed and settled; Press Release 7567-17.

      7. In re McVean Trading & Investments, LLC, Charles Dow McVean, Sr., Michael J. Wharton and Samuel C. Gilmore, CFTC Docket No. 17-15 (CFTC filed June 21, 2017); manipulative device; filed and settled; Press Release 7574-17.

      8. Jermy Lao, CFTC Non-Prosecution Agreement (June 28, 2017); Spoofing; Press Release 7581-17.

      9. Daniel Liao (June 28, 2017), CFTC Non-Prosecution Agreement (June 28, 2017); spoofing; Press Release 7581-17.

      10. Sholomo Salant (June 28, 2017), CFTC Non-Prosecution Agreement (June 28, 2017); spoofing; Press Release 7581-17.

      11. In re Simon Posen, CFTC Docket No. 17-20 (CFTC filed July 26, 2017); spoofing; filed and settled; Press Release 7594-17.

      12. In re The Bank of Tokyo-Mitsubishi UFJ, Ltd., CFTC Docket No. 17-21 (CFTC filed Aug. 7, 2017); spoofing; filed and settled; Press Release 7598-17.

        FY 2016

        1. CFTC v. Oystacher and 3Red Trading, Case No. 1:15-cv-09196 (N.D.Ill.Filed Oct. 19, 2015); spoofing; litigated; Press Release 7264-15

        2. In re Total Gas & Power North America, Inc. and Therese Tran, CFTC Docket No. 16-03 (CFTC filed Dec. 7, 2015); attempted manipulation; filed and settled; Press Release 7289-15.

        3. In re Citibank, N.A., CFTC Docket No. 16-16 (Filed 5/25/2016); attempted manipulation, false reporting; filed and settled; Press Release 7371-16.

        4. In re Citibank, N.A.; Citibank Japan Ltd and Citigroup Global Markets Japan Ltd., CFTC Docket No. 16-17 (CFTC filed May 25, 2016), attempted manipulation, false reporting, filed and settled; Press Release 7372-16.

          FY 2015

          1. CFTC v. Navinder Singh Sarao and Nav Sarao Futures Limited PLC, No. 1:15-cv-03398 (N.D. Ill. filed Apr. 17, 2015); manipulation, attempted manipulation, and spoofing; litigated; Press Release 7156-15 .

          2. CFTC v. Kraft Foods Group, Inc. and Mondelēz Global LLC, No. 1:15-cv-02881 (N.D. Ill. filed Apr. 1, 2015); manipulation and attempted manipulation; litigated; Press Release 7150-15.

          3. CFTC v. Heet Khara and Nasim Salim, No. 15-cv-03497 (S.D.N.Y. filed May 5, 2015); spoofing; litigated; Press Release 7171-15.

          4. In re Citibank N.A., CFTC Docket No. 15-03 (CFTC filed Nov. 11, 2014); attempted manipulation; filed and settled; Press Release 7056-14.

          5. In re HSBC Bank plc, CFTC Docket No. 15-07 (CFTC filed Nov. 11, 2014); attempted manipulation; filed and settled; Press Release 7056-14.

          6. In re JPMorgan Chase Bank N.A., CFTC Docket No. 15-04 (CFTC filed Nov. 11, 2014); attempted manipulation; filed and settled; Press Release 7056-14.

          7. In re The Royal Bank of Scotland plc, CFTC Docket No. 15-05 (CFTC filed Nov. 11, 2014); attempted manipulation; filed and settled; Press Release 7056-14.

          8. In re UBS AG, CFTC Docket No. 15-06 (CFTC filed Nov. 11, 2014); attempted manipulation; filed and settled; Press Release 7056-14.

          9. In re Barclays Bank PLC, CFTC Docket No. 15-24 (CFTC filed May 20, 2015); attempted manipulation and false reporting; filed and settled; Press Release 7181-15.

          10. In re Barclays PLC, Barclays Bank PLC, and Barclays Capital Inc., CFTC Docket No. 15-25 (CFTC filed May 20, 2015); attempted manipulation and false reporting; filed and settled; Press Release 7180-15.

          11. In re Deutsche Bank AG, CFTC Docket No. 15-20 (CFTC filed Apr. 23, 2015); attempted manipulation and false reporting; simultaneously filed and settled; Press Release 7159-15 .

            FY 2014

            1. In re Lloyds Banking Group plc and Lloyds Bank plc, CFTC Docket No. 14-18 (CFTC filed Jul. 28, 2014); manipulation, attempted manipulation and false reporting; filed and settled; Press Release 6966-14.

            2. In re RP Martin Holdings Ltd. and Martin Brokers (UK) Limited, CFTC Docket No. 14-16 (CFTC filed May 15, 2014); manipulation, attempted manipulation and false reporting; filed and settled; Press Release 6930-14.

            3. In re Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A., CFTC Docket No. 14-02 (CFTC filed Oct. 29, 2013); manipulation, attempted manipulation and false reporting; filed and settled; Press Release 6752-13.

            4. In re JPMorgan Chase Bank, N.A., CFTC Docket No. 14-01 (CFTC filed Oct. 16, 2013); manipulative device; filed and settled; Press Release 6737-13 .

            5. CFTC v. Donald R. Wilson and DRW Investments, LLC, No. 13-cv-7884 (S.D.N.Y. filed Nov. 6, 2013); manipulation and attempted manipulation; litigated; Press Release 6766-13.

            6. In re Daniel Shak and SHK Management LLC, CFTC Docket No. 14-03 (CFTC filed Nov. 25, 2013); attempted manipulation; filed and settled; Press Release 6781-13.

              FY 2013

              1. In re UBS AG and UBS Securities Japan Co., CFTC Docket No. 13-09 (CFTC filed Dec. 19, 2012); manipulation, attempted manipulation and false reporting; filed and settled; Press Release 6472-12.

              2. In re The Royal Bank of Scotland plc and RBS Securities Japan Limited, CFTC Docket No. 13-14 (CFTC filed Feb. 6, 2013); manipulation, attempted manipulation and false reporting; filed and settled; Press Release 6510-13.

              3. In re ICAP Europe Ltd., CFTC Docket No. 13-38 (CFTC filed Sep. 25, 2013); manipulation, attempted manipulation and false reporting; filed and settled; Press Release 6708-13.

              4. In re Panther Energy Trading LLC and Michael J. Coscia, CFTC Docket No. 13-26 (CFTC filed Jul. 22, 2013); spoofing; filed and settled; Press Release 6649-13.

              5. CFTC v. Eric Moncada, BES Capital LLC, and Serdika LLC, No. 12-cv-8791 (S.D.N.Y. filed Dec. 4, 2012); attempted manipulation, fictitious sales, non-competitive transactions; litigated; Press Release 6441-12.

                FY 2012

                1. In re Barclays PLC, Barclays Bank PLC and Barclays Capital Inc., CFTC Docket No. 12-25 (CFTC filed Jun. 27, 2012); attempted manipulation; simultaneously filed and settled; Press Release 6289-12.

                2. CFTC v. Joseph F. Welsh, No. 12-cv-01873 (S.D.N.Y. filed Mar. 14, 2012); attempted manipulation; litigated; Press Release 6210-12.

                  FY 2011

                  1. CFTC v. Parnon Energy, Inc., Arcadia Petroleum Ltd., Arcadia Energy (Suisse) SA, James T. Dyer and Nicholas J. Wildgoose, No. 1:11-cv-03543-WHP (S.D.N.Y. filed May 24, 2011); manipulation and attempted manipulation; litigated; Press Release 6041-11.

                  2. In re Christopher L. Pia, CFTC Docket No. 11-17 (CFTC filed Jul. 25, 2011); attempted manipulation; filed and settled; Press Release 6079-11.

                  3. In re Ecoval Dairy Trade, Inc., CFTC Docket No. 11-16 (CFTC filed Jul. 19, 2011); attempted manipulation; filed and settled; Press Release 6075-11.

                  4. In re Bunge Global Markets, Inc., CFTC Docket No. 11-10 (CFTC filed Mar. 22, 2011); false reporting and entering orders to purchase or sell in the pre-opening trading sessions on Globex that Bunge had no intention of executing; filed and settled; Press Release 6007-11.

                     

                    Last Updated: February 15, 2018