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Client Alert February 16, 2023

Traders Can Stand Up to Investigations from Regulators and Exchanges

  • U.S. government regulators are ramping up enforcement actions against traders for alleged market manipulation and spoofing.
  • Exchanges and self-regulatory organizations are piling on, subjecting traders to their own investigations.
  • Traders should not be afraid to stand up to these entities, and there are effective counteroffensive measures that can drive successful outcomes.

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Client Alert March 27, 2019

Successfully Fighting a Spoofing or Market Manipulation Subpoena from the DOJ or the CFTC

  • The U.S. government has set its sights on market manipulation and “spoofing” among both traditional and digital currency traders.
  • For the trading firms and other market participants who could be in the government’s crosshairs, now is the time to plan how you will respond to a subpoena.
  • Traders and trading firms that find themselves on the receiving end of a subpoena related to spoofing or market manipulation should not immediately assume that cooperation is the best or only way to respond.

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