A South Korean brokerage and investment banking firm settled CFTC charges on behalf of a recently acquired securities company that engaged in spoofing.
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The Business Conduct Committees of the Chicago Mercantile Exchange and the Chicago Board of Trade sanctioned several firms and traders for wash trading, exceeding position limits, and disruptive trading practices.
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.
The CFTC and DOJ settled charges with a proprietary trading firm for engaging in spoofing in equity futures contracts over a two-year period.