Displaying results 71 - 80 of 91
… and settling charges that two of DBSI’s traders engaged in spoofing. According to the order, DBSI manually placed bids … or offers before execution, an illegal practice known as spoofing. Deutsche Bank District Judge William H. Pauley III … charges against DBSI for engaging in numerous instances of spoofing in the Treasury futures and Eurodollar futures …
… 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 …
… 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 …
… to their regulatory obligations, manipulation and spoofing actions, and precedent-setting court decisions in … Release 8693-23 ] Manipulative and Deceptive Conduct and Spoofing The CFTC is focused on detecting, investigating, … and prosecuting misconduct—fraud, manipulation, spoofing, or other forms of disruptive trading—that can …
… 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 …
… 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 …
… 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 …
… significant and complex cases charging manipulation, spoofing, and unlawful use of customer funds, and won … Igor Oystacher and 3 Red Trading LLC, for allegedly spoofing and manipulation across five derivatives markets; • …
… Release 8590-22 ] Manipulative and Deceptive Conduct and Spoofing In its largest benchmark manipulation case to date, … defendants engaged in cross-market and single market spoofing involving CBOT soybean futures and options on … Release 8514-22 ] The CFTC brought several actions finding spoofing by respondents in a number of different markets, …
… futures markets; potential market manipulation; spoofing; the lack of convergence and elevated volatility …