DOJ’s Foray into the CFTC’s Enforcement World: Spoofing, Commodities Fraud, Wire Fraud and even RICO

part of the FIA Law & Compliance Division webinar series

11 June 2020


This webinar covers DOJ's transition from bringing Commodity Exchange Act (CEA) claims (manipulation and false reporting) to relying more heavily on commodities fraud and wire fraud. The webinar describes how DOJ has become more active in recent years in the CFTC's space and the type of underlying conduct in commodities/derivatives markets DOJ has been targeting. In addressing these developments, the webinar focuses on fraud in principal-to-principal transactions and how the criminal prohibitions DOJ has been enforcing fit with alleged violations of the CEA. Finally, the webinar discusses how courts have resolved arguments that CEA spoofing violations or trading based on nonpublic information does not rise to the level of wire fraud.

This webinar is intended for informational purposes only and is not intended to provide investment, tax, business, legal or professional advice. Neither FIA nor its members endorse, approve, recommend, or certify any information, opinion, product, or service referenced in this webinar. FIA makes no representations, warranties, or guarantees as to the webinar’s content.

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