Page 28 - 期货和衍生品行业监管动态（2022年8月）

期货和衍生品行业监管动态

日内建立适当的制度和程序，并永久禁止两名被告出现进一步违反《美国商品交

易法》（CEA）的行为。

10. CFTC Wins $7.49 Million Jury Verdict in Texas Broker Trading Case

(2022/8/16)

The Commodity Futures Trading Commission today announced a jury in the

Southern District of Texas issued a verdict finding Andrew Gizienski and EOX

Holdings, LLC (EOX) liable for secretly taking the other side of their customers’

orders without consent 65 times and disclosing their customers’ confidential order

information five times, in violation of CFTC regulations. The jury awarded $7 million

in civil monetary penalties for these violations. The jury also found EOX liable for

both failing to supervise Gizienski and to create and/or maintain required copies of

seven pre-trade communications. The jury awarded $490,000 in civil monetary
penalties for these violations.

The verdict was announced August 9 after a 5-day trial in Houston, Texas. The

trial was the culmination of an action the CFTC brought against Gizienski and EOX

on September 28, 2018, alleging that defendants misused customer information by

trading on material, non-public information and disclosing confidential customer

information to a favored client.

“The CFTC is committed to maintaining the integrity of the markets and

protecting customers,” said Acting Director of Enforcement Gretchen Lowe. “As we

said at the outset of this case, the illegal use of inside or confidential information

undermines confidence in markets and will not be tolerated.”

The CFTC presented numerous witnesses and documentary evidence, including

instant message chats and trade data, to establish Gizienski repeatedly disclosed
customer names and orders, and traded opposite his own customers.

In addition to the jury’s $7.49 million civil monetary penalties award, Senior

Judge Sim Lake imposed a 120-day trading and registration ban on Gizienski. Judge

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