AAT upholds ASIC bans of client advisers for trading in 'MINI' warrants (ASIC, 2017)
On appeal
Machine-extracted, pending human review. The structured fields on this page were parsed automatically from the regulator's own release, linked below. Read the primary document before relying on any figure here, and tell us if something is wrong.
In 2017, the Australian Securities and Investments Commission brought an action, now on appeal, against the named respondents, alleging conduct this library classifies as matched orders. The release does not state a monetary figure that we were able to extract.
The record
| Agency | ASIC |
|---|---|
| Release number | 17-425MR |
| Date filed | 2017-12-11 |
| Status | appealed |
| Criminal parallel | No |
| Defendants | |
| Techniques | Matched orders |
What was ordered
- Civil penalty
- —
- Disgorgement
- —
- Prejudgment interest
- —
- Total relief
- —
- Alleged gain
- —
What is alleged to have happened
the Australian Securities and Investments Commission announced this matter on December 11, 2017 as release 17-425MR. The respondents named are the named respondents.
This library tags the matter as matched orders, based on the conduct the regulator describes. Each tag links to a page explaining how that technique works, what statute it engages, and what penalties comparable actions have attracted. The tagging is ours, not the regulator's: agencies charge statutory provisions, not technique names.
For the regulator's own account of the facts, read the primary document linked above. This page deliberately summarises the structured record rather than reproducing the release.
What technique is this, and how does it work?
This action is tagged with one technique in our taxonomy. The tagging is ours: regulators charge statutory provisions, not technique names, so the mapping is an editorial judgement described in our editorial policy.
- Matched orders — see how it works, what statute it engages, and every other action tagged the same way.
Timeline
- 2017-12-11 ASIC media release
Primary documents
Everything on this page derives from the documents below. Where our summary and the primary document disagree, the primary document is right.
Related actions
Other actions in the library sharing at least one technique tag with this one.
| Action | Agency | Filed | Technique | Penalty | Status |
|---|---|---|---|---|---|
| SEC v. RSE Markets, Inc. (matched orders, 2023) | SEC | 2023-07-12 | Matched Orders | — | settled |
| SEC v. Legal & General Investment Management America, Inc. (matched orders, 2022) | SEC | 2022-11-21 | Matched Orders | — | settled |
| SEC v. William Scott Lawler, Esq. (matched orders, 2021) | SEC | 2021-08-18 | Matched Orders , Wash Trading | — | judgment |
| SEC v. Ahmad Haris Tajyar and Eric Leo Marsoubian (marking the close, 2021) | SEC | 2021-08-13 | Marking The Close , Matched Orders +1 | $220k | settled |
| SEC v. Ron Phillips (matched orders, 2021) | SEC | 2021-06-30 | Matched Orders | $30k | judgment |
| CFTC v. Connecticut Firm (matched orders, 2021) | CFTC | 2021-05-18 | Matched Orders , Wash Trading | $500k | judgment |