Page 15 - 期货和衍生品行业监管动态（2022年7月）

期货和衍生品行业监管动态

根据诉状，仅 100 万美元的参与者资金被转移至 Empires Consulting 名下的

期货交易账户中，而大部分资金均被挪用或遭受损失。

到 2021 年 11 月，被告停止兑现参与者的提款请求。根据诉状，没有任何迹

象表明 EmpiresX 实际上向任何商品基金参与者归还了其提出的款项。

诉状还指控被告向商品基金参与者虚报 EmpiresX 的注册信息，在尚未按规

定进行注册的情况下，Empires Consulting 作为商品基金管理人进行活动，而 Pires、

Goncalves 和 Nicholas 作为商品基金管理人的业务代表开展活动。

平行刑事和民事诉讼

在其他的诉讼中，美国司法部和美国证券交易委员会（SEC）宣布对相关行

为在佛罗里达州南部地方法院提起平行诉讼。

2. CFTC Charges Commodity Pool Operators and a Florida Company with
Fraudulently Solicitating Over $41.6 Million in a Commodity Pool Scheme

(2022/6/30)

The Commodity Futures Trading Commission today announced it has filed a

civil enforcement action in the U.S. District Court for the Southern District of Florida

againstEmerson PiresandFlavio Goncalves, both Brazilian citizens who previously

resided in Port Saint Lucie, Florida;Joshua Nicholasof Stuart, Florida; andEmpires

Consulting Corp., a Florida corporation. The complaint alleges the defendants

fraudulently solicited, accepted, and pooled at least $41.6 million, including more

than $14.3 million from individuals in the U.S., through commodity interest pools

under the name EmpiresX. The complaint further alleges that Pires, Goncalves, and

Empires Consulting misappropriated at least $5 million in pool participant funds.

In continuing litigation, the CFTC seeks full restitution to defrauded pool

participants, disgorgement of any 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.

Case Background

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