knowledge Base

Recent Trade Surveillance Enforcement Actions

We maintain a running list of every enforcement action brought in the last 5 years by the U.S. Department of Justice, the SEC, the CFTC, FINRA, or any major U.S. exchange involving conduct that could have been detected and prevented using Surveyor, and that resulted in fines of $100,000 or more. Check back for updates as new cases are announced.

* = criminal charges

Civil Penalty
Layering / Spoofing
Marking / Banging the Close
Wash / Cross Trades
Auction Imbalance Manipulation
Abusive Messaging
Cross-Product / Mini Manipulation
Misuse of Surveillance Platform
$12.8 Million*
$2.69 Million
$1.25 million
$1.25 Million

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