Displaying results 141 - 150 of 207
Written Testimony of Chairman J. Christopher Giancarlo before the U.S. Senate Agriculture, Nutrition, and Forestry Committee
… included significant actions to root out manipulation and spoofing and to protect retail investors from fraud. The … complex litigation, including cases charging manipulation, spoofing, and unlawful use of customer funds. The CFTC … and repeatedly engaging in a manipulative and deceptive spoofing scheme while placing orders for and trading futures …
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Written Testimony of Chairman J. Christopher Giancarlo before the Senate Banking Committee
… included significant actions to root out manipulation and spoofing and to protect retail investors from fraud. The … complex litigation, including cases charging manipulation, spoofing, and unlawful use of customer funds. The CFTC … and repeatedly engaging in a manipulative and deceptive spoofing scheme while placing orders for and trading futures …
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CFTC Orders Chicago-based Advantage Futures LLC, its CEO Joseph Guinan & Former Chief Risk Officer William Steele Jointly to Pay a $1.5 Million Penalty for Supervision, Risk Management Failures & Making Inaccurate Statements in Required CFTC Filings
… of trading in several contract markets, consistent with spoofing and/or manipulative or deceptive trading. According …
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CFTC Releases Annual Enforcement Results for Fiscal Year 2016
… significant and complex cases charging manipulation, spoofing, and unlawful use of customer funds, and won …
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Remarks of Chairman J. Christopher Giancarlo at Economic Club of Minnesota, Minneapolis, Minnesota
… Similarly, we have brought more manipulative conduct and spoofing cases than ever before.   From 2009 to 2016, the … manipulative conduct or disruptive trade practices like spoofing as particularly noteworthy.  Why is that the case? … was the announcement of the parallel actions involving spoofing and manipulative conduct we filed together with the …
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Statement of Commissioner Rostin Behnam Regarding Tower Research Capital LLC
… things, that Tower engaged in a manipulative and deceptive spoofing scheme resulting in the largest civil resolution … of Tower’s actions, which involved unprecedented levels of spoofing, I am not comfortable advising the SEC that the …
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Statement of Commissioner Kristin N. Johnson Regarding the CFTC’s Reaching Over $1 Billion in Civil Monetary Penalties Against Bank-Affiliated Entities for Employees’ Offline Communications
… HSBC for Fraudulent and Manipulative Swaps Trading and Spoofing, and for Recordkeeping and Supervision Failures, …
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Supporting Statement of Commissioner Dan M. Berkovitz Regarding Sunoco Enforcement Action and Opposing “Bad Actor” Waiver
… the Commission’s enforcement against Sunoco LP for the spoofing of the crude oil, gasoline, and heating oil futures …
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Keynote Speech of CFTC Commissioner Sharon Y. Bowen before the Quadrilateral Meeting at the European Central Bank (Frankfurt, Germany)
… CFTC initiated an action against a trader in England for spoofing the E-mini S&P 500 contract, which is a stock … market index futures contract based on the S&P 500 index. Spoofing is the practice of sending in bid offers for …
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Testimony of Chairman Timothy Massad before the U.S. House Appropriations Committee, Subcommittee on Agriculture, Rural Development, Food and Drug Administration and Related Agencies
… of new, complicated forms of illegal behavior, such as spoofing. The CFTC must have the necessary resources to … pools. For example, a recent case involving alleged spoofing in connection with the May 2010 “Flash Crash” took …
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