A Connecticut-based commodities firm settled CFTC charges for trading on misappropriated material non-public information.
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A federal jury convicted two former precious metal traders on charges of (i) fraud, (ii) attempted price manipulation and (iii) spoofing for their involvement in a multi-year market manipulation scheme.
The CFTC and DOJ settled actions against an energy and commodities trading firm and two of its subsidiaries for manipulative and fraudulent practices, foreign corruption and bribery in the U.S. and global oil markets.
A bank settled DOJ and SEC charges for Foreign Corrupt Practices Act violations in connection with its use of third-party intermediaries, business development consultants and finders.
A swap dealer settled DOJ and CFTC charges for spoofing, making false statements to regulators, and violations of CFTC external business conduct requirements.