Page 16 - 期货和衍生品行业监管动态（2022年10月）

期货和衍生品行业监管动态

failure to register as an introducing broker, and against Gospodarek for his failure to
register as an associated person of a commodity trading advisor, as required by

the Commodity Exchange Act (CEA). Gospodarek is Quantum Financial’s principal

and only employee.

The order requires Gospodarek and Quantum Financial to pay a $100,000 civil

monetary penalty. The respondents will also be required to pay $92,894.85 in

disgorgement and requires them to cease and desist from further CEA violations.

Case Background

According to the order, from July 2017 to January 2019, without being registered

with the CFTC, Quantum Financial acted as an introducing broker on behalf of two

overseas, leveraged foreign currency (forex) and leveraged precious metals trading
platforms. The company introduced eight commodity pools comprised of more than

150 U.S. retail customers to the trading platforms, and received compensation from
them. As its controlling person, Gospodarek is liable for those violations.

Additionally, the order finds that from July 2017 to January 2019, without being

registered with the CFTC, Gospodarek acted as an associated person of a commodity

trading advisor (CTA) by assisting the CTA in soliciting customers and engaging in

the business of advising customers as to the advisability of trading in leveraged forex

and leveraged precious metals through webinar appearances, videos, and responses to

individual customer questions on behalf of the CTA. Gospodarek also identified and

formulated leveraged forex and leveraged precious metals trading strategies that he

promoted to customers using the same means.

In accepting the settlement offer from Gospodarek and Quantum Financial, the

CFTC recognizes their substantial cooperation during the Division of Enforcement’s
investigation of this matter.

https://www.cftc.gov/PressRoom/PressReleases/8597-22

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