Displaying results 1 - 10 of 75
… 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 …
… (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, …
… complaints, charging six individuals and one company, with spoofing and manipulation in the futures markets in … Deutsche Bank, which includes a fine of $30 million for spoofing and manipulation; a civil settlement with UBS, which includes a fine of $15 million for spoofing and attempted manipulation; and a civil settlement …
… program and some of the trends in the prosecution of spoofing cases and matters involving supervisory duties and … its new anti-disruptive trade practices authority—or anti-spoofing authority, as it is more commonly known, have gone … to monitor for and detect conduct and patterns typical of spoofing and other manipulative behaviors. A Spoofing Task …
… morning, the CFTC announced the filing of manipulation and spoofing charges against three individuals who served as … and Gregg Smith are charged with manipulative conduct and spoofing in the precious metals futures markets in a … of Illinois, and Christian Trunz resolved charges of spoofing in an administrative settlement, in which he …
… 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 …
… impermissible trading strategies such as front-running and spoofing. Focusing on the Flash Crash: Navigating Innovation … [6] Using a high-frequency trading strategy known as “spoofing,” Sarao entered tens of millions of dollars of … pled guilty to one count of wire fraud and one count of “spoofing.” This simplified description does not reach the …
Remarks of Chairman Tarbert at Awards Ceremony Recognizing the Department of Justice’s Fraud Section
… of the law is the thing of which we are the most proud. The spoofing area has, of course, been an area of particularly … to Avi Perry and his team in charging and trying numerous spoofing cases around the country. And, particularly with respect to the most spoofing significant matters filed in the past few years, we …
… 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 …
… (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 …