Page 26 - 期货和衍生品行业监管动态（2023年9月刊）

期货和衍生品行业监管动态

通过下达幌骗交易报单，Serotta 欺骗了其他交易者有关供求情况，误导了市

场参与者对商品价格可能走向的判断，从而使 Serotta 的真实交易报单对市场参

与者更具有吸引力，并使 Serotta 比在没有幌骗交易报单时，以更大的数量和更

好的价格成交其真实报单。起诉状进一步指控，Serotta 和 Logista 的这一行为，

未能勤勉尽责地监管基金交易，并违反了 CFTC 在 2017 作出的一项命令，该命

令认定 Logista 之前的幌骗交易行为导致了其监督失职。【见 CFTC 第 7623-17

号新闻稿】

CFTC Charges Texas Firm and Head Trader with Spoofing and Engaging in a

Manipulative and Deceptive Scheme and Violating a Prior CFTC Order (2023/9/7)

The Commodity Futures Trading Commission today filed a civil complaint in the

U.S. District Court for the Northern District of Illinois against Logista Advisors LLC

and Andrew Serotta, charging them with spoofing, engaging in a manipulative and

deceptive scheme, failing to supervise, and for violating a prior CFTC order.

The scheme involved crude oil and natural gas futures contracts–specifically,

calendar spread contracts–traded on CME and ICE Futures Europe. Serotta is the

founder, principal, head trader, and a registered associated person of Logista, a

registered commodity pool operator and commodity trading advisor.

In the complaint, the CFTC seeks civil monetary penalties, restitution,

disgorgement of ill-gotten gains, registration and trading bans, and a permanent

injunction against further violations of the Commodity Exchange Act and CFTC

regulations, as charged.

“Six years ago, Logista accepted the CFTC’s entry of an order against it for

supervision failures relating to an employee’s spoofing. Here we are again. As alleged,

Logista and its principal engaged in additional spoofing, and manipulative and

deceptive conduct. The CFTC will continue to vigorously prosecute such conduct—

particularly by repeat offenders,” said Director of Enforcement Ian McGinley.

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