Page 27 - 期货和衍生品行业监管动态（2022年7月）
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期货和衍生品行业监管动态
As the court previously found, from March 2016 through April 2019, Seibert
fraudulently solicited and accepted more than $10 million from 11 participants. At the
time, Seibert claimed that he would use participant funds for short-term, high-interest,
secured “bridge loans” made to third-party borrowers who purportedly would use the
loaned funds to make property repairs as they sought permanent financing. Seibert
told participants that he would find the lending opportunities, complete the due
diligence to confirm that the borrower was qualified, and handle the closing and
servicing of the loan. However, Seibert did not originate any loans. Seibert instead
pooled and used most of the funds to trade commodity interests in his personal trading
account, where he lost more than $8.3 million trading. He used other participant funds
for personal expenditures.
Parallel Criminal Action
In a separate action, the U.S. Attorney’s Office for the Western District of Texas
filed a criminal complaint against Seibert on June 3, 2021, charging him with two
counts of wire fraud and engaging in monetary transactions in property derived from
unlawful activity. Seibert pled guilty and was sentenced on December 7, 2021 to 70
months of incarceration and three additional years of supervised release. He was also
ordered to pay restitution of $10,794,508 and was subject to a criminal forfeiture.
https://www.cftc.gov/PressRoom/PressReleases/8554-22
8. 美国商品期货交易委员会委员 Kristin Johnson 就新的被列入“RED 名单”的
实体发表声明
CFTC“RED List”告诫美国消费者：提高警惕，谨慎交易 （2022 年 7 月 14
日）
CFTC 将 34 个未注册的外国实体添加至其未注册名单（RED List）上。CFTC
于 2015 年推出 RED List，旨在努力提高信息透明度，并列出可能在受监管市场
上运营但尚未进行适当注册的外国实体。
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