Government Obtains Judgment against Two New York Investment Firms Court judgment

CFTC release 5313-07 · 2007-04-03 · view on cftc.gov ↗

Key facts

Release number
5313-07
Release date
2007-04-03
Type
Court judgment
Primary source
https://www.cftc.gov/PressRoom/PressReleases/5313-07

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The CFTC charges market participants under the Commodity Exchange Act for spoofing, manipulation, fraud, wash trades, registration violations, and commodity-pool-operator misconduct. Most actions settle with restitution + civil money penalty + a bar/suspension. Crypto-asset cases have been a major share since 2019.