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Explain how the case was resolved, e.g., What happened to the violator(s)? What were the penalties levied against the violator(s), if any?

Explain how the case was resolved, e.g., What happened to the violator(s)? What were the penalties levied against the violator(s), if any?.

Securities violations are the subject of review and enforcement of the Securities and Exchange Commission (SEC), a federal agency.  Two types of violations found in SEC cases are:  (1) spoofing, and (2) insider trading.

PROMPT: For this forum discussion, research further, either spoofing or insider trading SEC violations. Find and share  a case example no more than 5 years old in SEC cases (do NOT use the spoofing case already cited in the above press release) that illustrates the practice you have selected.  In your initial Forum post cover the following in reporting the case:

  • Briefly explain spoofing or insider trading (whichever one you have chosen) and why it is illegal (e.g., effect on business, society);
  • What is the specific statute and/or regulation violated by this conduct?
  • Identify the SEC case you have selected and provide a link to the case;
  • Describe the violation illustrated by the case, e.g. Who are the parties? What did the violator(s) do that constituted spoofing or insider trading? Who was harmed by the violation?
  • What is the ethical framework you observe was followed by the violator(s) in committing the illegal conduct? (Explain.)
  • Explain how the case was resolved, e.g., What happened to the violator(s)? What were the penalties levied against the violator(s), if any?
  • Do you believe the result is a just resolution of the violation? Why or why not?
  • Share any other thoughts you have on this topic.

Locate SEC cases athttps://www.sec.gov/litigation/litreleases.shtml

Explain how the case was resolved, e.g., What happened to the violator(s)? What were the penalties levied against the violator(s), if any?

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