Page 32 - 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

但实际上已经出现了巨大的交易损失；严重夸大了基金管理的资产数额；声称基

金的财务报表已由外部审计公司审计，而事实并非如此；以及谎称该基金拥有一

个由五或六名成员组成的咨询委员会，其成员皆为在金融和投资行业具有丰富经
验的人士。被告通过向现有和潜在的基金参与者发送虚假报告，包括伪造的月度

报表和编造的财务报表等形式。

平行民事诉讼

2022 年 5 月 18 日，美国证券交易委员会（SEC）在同一法院对 Middlebrooks

及其公司提起民事禁令诉讼，其指控的行为与 CFTC 所指控的行为类似。

12. CFTC Charges Michigan Commodity Pool Operator and His Company with

Sales Solicitation Fraud as Part of a Commodity Pool Scheme（2022/8/19）

The Commodity Futures Trading Commission today announced it filed a civil

enforcement action in the U.S. District Court for the Eastern District of Michigan
against Andrew M. Middlebrooks and his firm EIA All Weather Alpha Fund I

Partners, LLC, a Delaware company, based in the Detroit, Michigan area. The

complaint alleges Middlebrooks and his company engaged in a scheme that

fraudulently solicited individuals in the U.S. and elsewhere to trade commodity

interests, among other financial products, through a commodity pool called EIA All

Weather Alpha Fund I, LP. The complaint further alleges Middlebrooks and his

company solicited, accepted, and pooled millions of dollars from dozens of fund

participants.

In its continuing litigation, the CFTC seeks full restitution to defrauded fund

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

The complaint alleges that as early as mid-2017, Middlebrooks and his company

began soliciting individuals to invest in the fund. In doing so, they repeatedly made

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