Trading

Furth engaged in a fraudulent broker bribery scheme designed to manipulate the market for the common stock of SearchPath HCS, Inc. through matched trades. The ...

The SEC's complaint alleges that Gregory T. Dean and Donald J. Fowler did no reasonable diligence to determine whether their investment strategy involving frequent buying ...

In an SEC enforcement first, the Commission has charged hacking into the computer networks of two prominent but unidentified New York-based law firms in a ...

The year draws to a close with the CFTC finalizing a new final rule that revises Commodity Exchange Act rule 150.4 (aggregation of positions) to ...

Morgan Stanley will pay $7.5 million to settle SEC charges that it used trades involving customer cash to lower the firm’s borrowing costs in violation ...

The Order finds that Oystacher and 3Red intentionally and repeatedly engaged in a manipulative and deceptive spoofing scheme while trading the spot-month contracts in the ...

Deutsche Bank did not inform clients or potential clients that it added new venues to the DPRM based on subjective judgment rather than historical execution ...

Despite “repeatedly” receiving compliance inquiries from multiple brokerage firms concerning potentially manipulative trades, two traders managed to allegedly reap more than $26 million in profits ...

From at least January 2010 to at least August 2014, TPG and Phillips unfairly and systematically allocated profitable trades to a set of accounts while ...

The CFTC charged them with unlawfully manipulating, attempting to manipulate, spoofing, and use of a manipulative device — all with regard to the E-mini S&P ...