Displaying results 61 - 70 of 193
… Pay Combined Civil Monetary Penalties of $2.69 Million for Spoofing in the Gold and Silver Futures Markets Washington, … Arab Emirates (UAE), prohibiting them from engaging in spoofing in violation of the Commodity Exchange Act. The … million civil monetary penalty to settle CFTC charges of spoofing in the gold and silver futures markets. The Order …
… $2.8 Million and Bans Them from Trading for One Year, for Spoofing in Numerous Commodity Futures Contracts First Case … Dodd-Frank’s Prohibition of the Disruptive Practice of Spoofing by Bidding or Offering with Intent to Cancel before … New Jersey, for engaging in the disruptive practice of “spoofing” by utilizing a computer algorithm that was …
… June 2, 2017 CFTC Finds Former Trader David Liew Engaged in Spoofing and Manipulation of the Gold and Silver Futures … charges against David Liew for engaging in numerous acts of spoofing, attempted manipulation, and, at times, … In the Order, Liew admits the facts of his manipulation and spoofing activity and acknowledges that his conduct violated …
… and deceptive trading related to swaps with bond issuers, spoofing, and supervision and mobile device recordkeeping … has zero tolerance for manipulative, deceptive or spoofing transactions, including by registered swap … who supervised HSBC’s U.S. dollar swap desk, engaged in spoofing in the voice-brokered swaps market on a number of …
… 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 …
… 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, …
… 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 …
… 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 …
… 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; …
… 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 …