Page 34 - 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

In addition, the order finds Tippett engaged in a scheme to misappropriate
confidential block trade order information from Classic’s brokerage customers.

Tippett did so by disclosing certain block trade order information provided to him by

a trader acting at Clark’s direction. The information was disclosed to Peter Miller, an

individual proprietary trader. Miller in turn traded on the basis of this information and

shared his trading profits with other scheme participants, but not Tippett. The CFTC

previously filed complaints against Clark and Miller for their roles in this scheme.

[See CFTC Press Release No. 8490-22] [See CFTC Press Release No. 8468-21]

In addition, the order finds Tippett made false statements to ICE on September

15, 2016, in connection with ICE’s investigation of certain block trades brokered by

Classic. According to the order, Tippett made these false statements to conceal certain

misconduct by Mathew Webb, Classic’s owner and president, for which the CFTC

previously charged Webb. [See CFTC Press Release No. 8030-19]

On August 17, 2021, Tippett entered a guilty plea in a separate, parallel criminal

action against Tippett in the U.S. District Court for the Southern District of Texas

(U.S. v. Tippett, 4:21-cr-364).

https://www.cftc.gov/PressRoom/PressReleases/8627-22

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