Page 24 - 期货和衍生品行业监管动态（2023年11月刊）

期货和衍生品行业监管动态

在起诉书中，CFTC 寻求对被告处以赔偿受害者损失、没收非法所得、民事

罚款、永久禁止交易和注册，以及永久禁止其进一步违反《美国商品交易法》（CEA）

和 CFTC 联邦法规的行为。

案件背景

诉状称，至少自 2019 年 8 月至今，被告通过网站、社交媒体和线下方式直

接招揽个人参加零售外汇交易课程。被告通过与某些课程参与者接触，让其加入

自己经营的零售外汇交易基金。被告通过对许多或全部参与者承诺投资翻倍等方

式，从基金参与者处获取了约 30 万美元。然而，被告挪用了大部分资金用于个

人开支、提取现金和支付给其他基金参与者。被告未在 CFTC 注册，未向基金参

与者提供必要的信息披露，也未按规定履行记录保存义务。

CFTC Charges Illinois Man and His Firm for Operating a Fraudulent Retail

Forex Commodity Pool (2023/11/3)

The Commodity Futures Trading Commission today announced it filed

a complaint in the U.S. District Court for the Northern District of Illinois against Coby

Young and his firm, Young Emerging Strategies LLC, both of Illinois. The complaint

charges the defendants with fraud in connection with leveraged, margined, or financed

retail foreign currency transactions (retail forex), fraud by a commodity pool operator,

registration violations, disclosure and recordkeeping violations, and commingling pool

property.

In its complaint, the CFTC seeks restitution to pool participants, disgorgement of

ill-gotten gains, civil monetary penalties, permanent trading and registration bans, and

a permanent injunction against further violations of the Commodity Exchange Act

(CEA) and CFTC regulations, as charged.

Case Background

The complaint alleges, from at least August 2019 through the present, the

defendants directly solicited individuals via a website, social media, and in person to

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