Page 19 - 《期货和衍生品行业监管动态》（2022年合集）

期货和衍生品行业监管动态

CFTC 提示，法令要求对受害人的资金偿还可能无法弥补所有的损失，因为

违法者没有足够的资金或财产。CFTC 将继续坚决为投资者保护做出努力并将违

法者绳之以法。

Federal Court Orders Tennessee and Kentucky Men and Their Company to Pay

Over $5 Million for Commodity Futures Pool Fraud（2022/3/22）

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

District Court for the Middle District of Tennessee entered a summary judgment order

on March 16, 2022 for permanent injunction, monetary sanctions, and equitable relief

against Rodney Scott Phelps, formerly of Tennessee. Previously, the U.S. District

Court for the Middle District of Tennessee entered an order of default judgment

(default order) against two other parties to the suit, Jason T. Castenir of Kentucky

and Maverick Asset Management (Maverick) of Tennessee.

The summary judgment and default orders impose civil monetary penalties and

restitution totaling more than $5 million. This includes a $420,000 civil monetary

penalty against Phelps and a $2,461,301 civil monetary penalty, jointly, against

Castenir and Maverick. The orders also require Maverick and Castenir to pay

$1,172,800 in restitution and Phelps also is required to pay $1,172,800 in restitution

to defrauded customers. Finally, the Orders subject Defendants to permanent trading

and registration bans and a permanent injunction from further violations of the

Commodity Exchange Act (CEA) and CFTC regulations, as charged.

Case Background

The summary judgment order found that Phelps and Castenir formed Maverick,

which operated a commodity trading pool. In 2013, Maverick solicited more than $1.2

million in funds from investors. The solicitations were boosted by false materials
claiming that Phelps had an extensive history of investing successfully in commodity

trading markets. The solicitations also falsely assured investors that their risk would

be “limited,” and that they could expect “guaranteed returns” of more than 100% per

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