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.
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A swap dealer settled DOJ and CFTC charges for spoofing, making false statements to regulators, and violations of CFTC external business conduct requirements.
The Business Conduct Committees of the Commodity Exchange and the New York Mercantile Exchange sanctioned a firm and several traders for block trade violations.
The Business Conduct Committees of the Commodity Exchange and the New York Mercantile Exchange sanctioned a firm and several traders for spoofing and for violations of exchange block trading rules.
Mitsubishi Corporation settled CFTC and NYMEX charges for disruptive trading practices involving precious metals futures products.