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期货和衍生品行业监管动态

price manipulation, and spoofing. In August 2023, Smith was sentenced to two years

in prison and ordered to pay a $50,000 fine, and Nowak was sentenced to one year

and a day in prison and ordered to pay a $35,000 fine. United States v. Smith, No. 19

Cr. 669 (N.D. Ill.).

See Smith Order and Nowak Order.

CFTC Secures Federal Court Order Requiring Florida Resident, Firm to

Pay Over $335,000 for Misappropriating Confidential Information, Fictitious

Trading

The U.S. District Court for the Southern District of Texas entered a consent order

imposing permanent injunctive relief, disgorgement, and civil monetary penalties

against Peter Miller of Miami, and his firm Omerta Capital LLC.

Under the order, the defendants, jointly and severally, must pay $135,788 in

disgorgement, representing their unlawful gains, and a $200,000 civil monetary

penalty. The order also bans the defendants from registration and all trading for 18

months and from block trading for five years.

The consent order resolves all claims the CFTC brought against the defendants in

the complaint filed in December 2021 and amended in December 2022 [See CFTC
Press Release Nos. 8468-21 and 8634-22].

In a related criminal case, the Department of Justice charged Miller in December

2021, with one count of conspiracy to commit commodities fraud based on conduct

alleged in the CFTC’s complaint. [United States v. Peter Miller, No. 4:21-cr-00570

(S.D. Tex. Dec. 10, 2021)]. Miller pleaded guilty and was sentenced in June 2024 to

five months in prison and five months of home confinement. He was also ordered to

pay $135,788 in criminal forfeiture.

See Miller/Omerta Capital Order.

CFTC Charges Oklahoma Man, His Unregistered Commodity Pool

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