Page 20 - 期货和衍生品行业监管动态（2026年1月）

期货和衍生品行业监管动态

1000 万美元的资金，用于由 Wolf Capital 运营的一个未注册商品基金。

在起诉书中，CFTC 要求赔偿、追缴非法所得、民事罚款、永久交易和注册

禁令，以及针对进一步违反《美国商品交易法》和 CFTC 法规行为的永久禁令。

在相关的刑事诉讼中，美国司法部指控 Ford 共谋实施电信欺诈。【见美国诉

Ford，案号：No. 4:24-cr-00387 (N.D. Okla. Dec. 10, 2024).】11 月 13 日，Ford 被

判处五年监禁，并被要求支付一定金额的赔偿。

见 Ford/Wolf Capital 起诉书。

CFTC Enforcement Updates (2026/1/16)

CFTC Obtains Federal Civil Monetary Penalties and Trading Bans in Two Cases;

Brings Charges Against Unregistered Commodity Pool Operator

The Commodity Futures Trading Commission today announced the following

enforcement updates.

CFTC Obtains Federal Court Order Imposing Civil Monetary Penalties and

Trading Bans on Precious Metals Spoofers

The U.S. District Court for the Northern District of Illinois entered two consent

orders against Gregg Smith of New York and Michael Nowak of New Jersey for
spoofing in the precious metals futures markets while employed at a major bank.

Under the orders, Smith must pay a $200,000 civil monetary penalty and is

barred from trading in CFTC markets or registering with the CFTC for three years.

Nowak must pay a $150,000 civil monetary penalty and is barred from trading and

registration for six months. Both defendants are also required to cease and desist from

further violating the spoofing prohibition in the Commodity Exchange Act.

The consent order resolves a CFTC enforcement action filed in September 2019

[See CFTC Press Release No. 8013-19].

In a related criminal case, Smith and Nowak were convicted of fraud, attempted

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