Enforcement

HSBC, by and through one of its traders, engaged in spoofing with respect to certain futures products in gold and other precious metals traded on ...

the Traders placed relatively large bids or offers with the intent to cancel before execution (spoof orders) after another smaller bid or offer (resting orders) ...

The Traders, both individually and in coordination with one or more of the others, placed orders to buy or sell precious metals futures contracts with ...

“Spoofing is a particularly pernicious example of bad actors seeking to manipulate the market through the abuse of technology. The technological developments that enabled ...

Bitcoins and other cryptocurrencies may be all the rage but the SEC’s Division of Investment Management states to slow down.   Two advisers that sought ...

The CFTC Complaint alleges that from approximately January 2017 to the present, McDonnell and CDM engaged in a deceptive and fraudulent virtual currency scheme to ...

Specifically, the Complaint alleges that, from approximately April 2017 through the present, Defendants, who have never been registered with the CFTC in any capacity, have ...

Carter and Slobodnik told prospective and actual participants that Blue Guru would use their money to trade futures, including the Dow Jones E-mini and the ...

Marc Broidy, 43, may have grown up in luxury in Beverly Hills, Calif., but he’s going to have to get used to lesser accommodations after ...

Mohlman made payments to satisfy the obligations of third parties, and in 2013, used one of the private fund's assets to make a $150,000 unsecured ...