Page 373 - 《期货和衍生品行业监管动态》（2022年合集）

期货和衍生品行业监管动态

执行相反方向的报单，而实际上他希望这些报单得到执行。Shak 的幌骗报单使

其能够以比其他方式更快、以更优惠的价格和/或以更大的数量执行反方向的市

场报单。

CFTC Charges Nevada Metals Trader with Spoofing in Gold and Silver Markets

(2022/8/5)

The Commodity Futures Trading Commission today filed a civil enforcement

action in the U.S. District Court for the District of Nevada against Daniel Shak of Las

Vegas, Nevada, charging him with spoofing and engaging in a manipulative and

deceptive scheme in the gold and silver futures markets.

In its continuing civil litigation, the CFTC seeks, among other relief, civil

monetary penalties, disgorgement, trading bans, and a permanent injunction against

future violations of the federal commodities laws, as charged.

“These charges demonstrate once again that the CFTC will vigorously prosecute

to the fullest extent of the law, misconduct that has the potential to undermine the

integrity of our markets,” said CFTC Acting Division of Enforcement Director

Gretchen Lowe.

Case Background

The complaint alleges that from February 2015 through March 2018, Shak

repeatedly engaged in manipulative or deceptive acts and practices by

spoofing—bidding or offering with the intent to cancel the bid or offer before

execution—while placing orders for and trading gold and silver futures contracts on

the Commodity Exchange, Inc. On hundreds of occasions, Shak entered large orders

for gold or silver futures that he intended to cancel before execution, while placing

orders on the opposite side of the gold or silver futures market. By placing the spoof
orders, Shak intentionally or recklessly sent false signals of increased supply or

demand that were designed to trick market participants into executing against orders

on the opposite side of the market, which he actually wanted filled. Shak’s spoof

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