Page 210 - 《期货和衍生品行业监管动态》(2022年合集)
P. 210

期货和衍生品行业监管动态




                   continuing through the present, Cox persuaded at least 14 individuals to transfer at
                   least $842,900 to him for the purported purpose of trading commodity futures. In

                   reality, Cox misappropriated at least $367,979 of the participant funds for direct

                   personal benefit.


                        The complaint alleges that Cox knowingly made fraudulent and material

                   misrepresentations and omitted material facts in soliciting participants, including

                   making false claims he was a successful trader with years of experience trading

                   futures contracts.


                        According to the complaint, Cox represented that he was profitably trading

                   participants’ funds and sent participants false statements including account statements,

                   emails, and screen shots falsely showing profitable trading. In fact, according to the

                   complaint, Cox lost most of the participant funds that he did trade.


                        Cox also failed to disclose that he was the subject of a previous CFTC
                   enforcement action in the Southern District of Florida which resulted in a $940,000

                   judgment against him for fraudulently soliciting funds to trade in a managed

                   commodity futures account.


                   https://www.cftc.gov/PressRoom/PressReleases/8537-22







                   4. 美国商品期货交易委员会指控 Gemini 信托公司向其作出重大虚假或误导性

                   陈述和遗漏重要信息 (2022 年 6 月 2 日)



                        CFTC 宣布,其已在美国纽约南区地方法院对位于纽约州纽约市的 Gemini


                   Trust Company, LLC(Gemini)提起诉讼,指控其在比特币期货产品的自我认证


                   事项向 CFTC 作出了重大虚假或误导性事实陈述或遗漏重要事实。如其指控,


                   CFTC 要求没收其违法所得、处以民事罚款及有关注册和交易的禁令,以及禁止


                   其再次违反《美国商品交易法》(CEA)。



                   回 到 首 页                                   173                               回 到 目 录
   205   206   207   208   209   210   211   212   213   214   215