The SEC charged three individuals with securities fraud for engaging in insider trading in the securities of Equifax, Inc. prior to its announcement of a major data breach.
In a Complaint filed in the U.S. District Court for the District of New Jersey, the SEC alleged that two individuals placed orders on opposite sides of the market for the same put options using two accounts with two broker-dealers.
The SEC charged a regional vice president of a retail pharmacy chain with insider trading involving "market-moving" information.
A South Korean brokerage and investment banking firm settled CFTC charges on behalf of a recently acquired securities company that engaged in spoofing.
The CFTC and DOJ settled charges with a proprietary trading firm for engaging in spoofing in equity futures contracts over a two-year period.