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Violation Tracker Individual Record

Company: Tower Research Capital LLC
Penalty: $67,493,849
Year: 2019
Date: November 7, 2019
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The U.S. Commodity Futures Trading Commission issued an order filing and settling charges against Tower Research Capital LLC, a proprietary trading firm, arising from a manipulative and deceptive scheme, spanning nearly two years and involving thousands of occasions of spoofing in equity index futures products traded on the Chicago Mercantile Exchange and Chicago Board of Trade.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.