Page 18 - 期货和衍生品行业监管动态（2022年6月）

期货和衍生品行业监管动态

案件背景

诉状称，大约自 2019 年 12 月起至今，Cox 说服了至少 14 个个人向其转账
至少 84.29 万美元用于交易商品期货。但实际上，Cox 挪用了参与者至少 367,979

美元的资金直接用于个人使用。

诉状称，Cox 在招揽交易参与者时故意作了重大虚假陈述，并遗漏了重要事

实，谎称自己是一名成功的交易员，拥有多年的期货合约交易经验。

根据诉状，Cox 声称其使用参与者资金交易获利，并向参与者发送了虚假陈

述包括虚假显示交易盈利的账户报表、电子邮件和屏幕截图。事实上，根据诉状，

Cox 在交易时损失了大部分参与者的资金。

Cox也并未披露其是 CFTC 此前在佛罗里达州南部地区提起执法诉讼的对象，

该执法诉讼认定其欺诈性地募集客户资金在其管理的商品期货账户中进行交易，

并对其判处 94 万美元罚款。

3. CFTC Charges Florida Man with Fraudulent Solicitation of Over $800,000

and Misappropriation in Futures Scheme

Federal Court Ordered Cox to Pay Over $900,000 in Restitution and Penalties in

Prior CFTC Fraud Action (2022/5/31)

The Commodity Futures Trading Commission today announced that it filed a

civil enforcement action in the Southern District of Florida against Rico Cox of Fort

Lauderdale, Florida. The complaint alleges that, for a second time, Cox fraudulently

solicited and accepted funds, this time at least $842,900 that was intended for

commodity futures trading. Cox has never been registered with the CFTC.

In litigation, the CFTC seeks restitution to defrauded investors, 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), as charged.

“Rico Cox is a recidivist fraudster who, despite a prior commodity fraud

judgment against him, has again lied to participants about his experience and trading

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