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Violation Tracker Individual Record

Company: Briargate Trading LLP
Penalty: $912,842
Year: 2015
Date: October 8, 2015
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: An SEC investigation found that Briargate Trading LLP and co-founder Eric Oscher orchestrated a scheme in which they placed sham orders, or spoofs, to create the false appearance of interest in stocks and manipulate their prices. Briargate and Oscher agreed to settle the case.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.