The CFTC has filed an amended complaint against Archegos Capital Management, LP and Archegos’s Chief Financial Officer, Patrick Halligan.
About two months after Archegos responded to the SEC’s market manipulation claims, the regulator has filed an amended complaint in this case.
The SEC plans to amend its complaint against Sung Kook (Bill) Hwang, Patrick Halligan, and Archegos Capital Management.
Archegos says the Complaint should be dismissed because it fails to state a claim over which the CFTC has jurisdiction.
Archegos Capital Management, LP seeks to dismiss the Complaint by the SEC accusing it of manipulating the market prices of certain securities.
Judge J. Paul Oetken has signed a judgment as to William Tomita, Archegos head trader, that partially settles SEC charges.
The SEC has reached a partial settlement with William Tomita, who served as the head trader of Archegos.
Judge J. Paul Oetken has approved the proposed settlement between the SEC and Scott Becker, CRO of Archegos.
The SEC has reached a partial settlement with Scott Becker, who served as Chief Risk Officer of Archegos.
The CFTC takes action against Archegos Capital Management, LP and Archegos’s Chief Financial Officer, Patrick Halligan.