Page 20 - 《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

year. They promised investors that their money would be invested in commodity
trading markets with the goal of earning substantial returns.

According to the summary judgment order, Phelps and Castenir actually used

less than $400,000 of the invested funds for trading. The remaining investor funds

were misappropriated. Nearly all of the funds used for commodity trading were lost in

unprofitable trades. Nevertheless, throughout 2013, and despite the losses, Phelps,

Castenir, and Maverick sent investors false account statements showing their

investments yielded remarkably high gains. Throughout the entire investment

operation, Phelps never registered with the CFTC as a commodity trader, despite the

fact the he and Maverik engaged in numerous regulated activities.

Criminal Action

The summary judgment order further noted that on September 20, 2019, after a

jury trial, Phelps was convicted of 13 counts of fraud and conspiracy in connection
with the same underlying facts as the CFTC’s case. Phelps was sentenced to 108

months in prison followed by three years of supervised release.

The CFTC cautions that orders requiring repayment of funds to victims may not

result in the recovery of any money lost because the wrongdoers may not have

sufficient funds or assets. The CFTC will continue to fight vigorously for the

protection of customers and to ensure the wrongdoers are held accountable.

https://www.cftc.gov/PressRoom/PressReleases/8503-22

4. 美国商品期货交易委员会延长就 FTX 请求修改衍生品清算机构注册令的公

开征求意见期限（2022 年 3 月 24 日）

CFTC 延长了 LedgerX, LLC d.b.a. FTX US Derivatives（FTX）要求修改其作

为衍生品清算组织（DCO）的注册令的公开征求意见期限。

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