FINRA suspends former Barclays general securities rep for engaging in spoofing
Jin Yi Lim, a former Barclays general securities representative, has agreed to a fine as a part of a settlement with FINRA.
Jin Yi Lim, a former Barclays general securities representative, has agreed to a fine as a part of a settlement with FINRA.
FINRA announced today that it has fined BofA Securities, Inc. $24 million for engaging in more than 700 instances of spoofing.
Deutsche Bank is accused of manipulation of Treasury Futures and Eurodollar Futures that trade on United States-based exchanges.
Two former precious metals traders at JPMorgan Chase & Co. were sentenced on Tuesday for engaging in fraud, attempted price manipulation, and spoofing.
The order requires Adam Cobb-Webb to pay a $150,000 civil monetary penalty and imposes a one-year ban from trading.
The CFTC order charges HSBC with manipulative and deceptive trading related to swaps with bond issuers, spoofing, and supervision failures.
The CFTC has fined Walleye Capital for spoofing by a former trader in soybean futures on the Chicago Board of Trade (CBOT).
Citadel, Instinet, Virtu, and Canaccord are accused of deliberately engaging in repeated spoofing that drove NWBO’s share price downward.
The CFTC fines Randy Chen, a California resident, and proprietary trading firm Tanius Technology for spoofing in 12 futures contracts.
The CFTC orders Eric Schwartz of Chicago, Illinois, to pay a $100,000 fine for engaging in multiple instances of spoofing.