Page 15 - 期货和衍生品行业监管动态（2022年11月）

期货和衍生品行业监管动态

NFA 提交了伪造的邮件，形成及时向所有商品基金参与者提供了账户报表的假

象。由于以上行为，导致商品基金参与者损失超 190 万美元。

此前，CFTC 签发行政令，对来自亚利桑那州的美国证券交易委员会（SEC）

注册投资顾问 Paul Ohanian 及其咨询公司 Scottsdale Wealth Planning, Inc.进行立
案并达成和解，由于他们同其客户就参与 CTAX 基金交易进行沟通时故意遗漏

了重要事实且未在 CFTC 注册为商品交易顾问。行政令要求 Ohanian 和 Scottsdale

Wealth 支付 338,000 美元赔偿金和 169,000 美元的民事罚款。

此次针对被告的判令，加上针对 Ohanian 和 Scottsdale Wealth 的行政令，使

CFTC 达成了向受害者支付全部赔偿金额的目的。

Federal Court Orders California Man and His Commodity Pool Operator and

Introducing Broker to Pay Over $2.3 Million for Commodity Fraud and Making
False Statements to the NFA (2022/10/25)

The Commodity Futures Trading Commission today announced the U.S. District

Court for the District of Arizona entered a consent order on October 19, imposing

monetary sanctions against Purvesh Mankad and his affiliated entities CTAX Series,

LLC, a CFTC-registered commodity pool operator, and CTAX Partners, LLC, a

CFTC-registered introducing broker.

The order resolves a CFTC action filed on October 8, 2021 and finds the

defendants liable for fraudulent solicitation, misappropriation of pool participant

funds, and making false statements to the National Futures Association (NFA)

regarding the fraud. The order requires the defendants to pay $1,631,072.29 in

restitution to victims and to pay a $727,588.91 civil monetary penalty. The court also

permanently prohibited the defendants from further violations of the Commodity

Exchange Act (CEA), as charged, and imposed permanent registration and trading
bans.

Case Background

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