Page 19 - 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

skill, and, in this case has stolen funds deposited with him for futures trading,” said
CFTC Acting Director of Enforcement Gretchen Lowe.

Case Background

The complaint alleges that, beginning in approximately December 2019 and

continuing through the present, Cox persuaded at least 14 individuals to transfer at

least $842,900 to him for the purported purpose of trading commodity futures. In

reality, Cox misappropriated at least $367,979 of the participant funds for direct

personal benefit.

The complaint alleges that Cox knowingly made fraudulent and material

misrepresentations and omitted material facts in soliciting participants, including

making false claims he was a successful trader with years of experience trading
futures contracts.

According to the complaint, Cox represented that he was profitably trading

participants’ funds and sent participants false statements including account statements,

emails, and screen shots falsely showing profitable trading. In fact, according to the

complaint, Cox lost most of the participant funds that he did trade.

Cox also failed to disclose that he was the subject of a previous CFTC

enforcement action in the Southern District of Florida which resulted in a $940,000

judgment against him for fraudulently soliciting funds to trade in a managed

commodity futures account.

https://www.cftc.gov/PressRoom/PressReleases/8537-22

4. 美国商品期货交易委员会指控 Gemini 信托公司向其作出重大虚假或误导性

陈述和遗漏重要信息 （2022 年 6 月 2 日）

CFTC 宣布，其已在美国纽约南区地方法院对位于纽约州纽约市的 Gemini

Trust Company, LLC（Gemini）提起诉讼，指控其在比特币期货产品的自我认证

6 / 64