Page 220 - 《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

The order finds that since at least August 2014, Hewko solicited funds from
investors for a pooled investment vehicle marketed to prospective investors as the

Global Opportunity Fund (Fund). Hewko transferred more than $1.1 million in

investor funds into a futures trading account which was used to trade a limited amount

of futures contracts including crude oil and E-mini S&P 500 futures contracts, both of

which were traded on designated contract markets. According to the order, from

approximately January 2016 through approximately October 2018, Hewko emailed

investors account statements for the Fund, which reported investment gains. However,

all of the purported investment returns contained in the account statements were false.

What little futures trading the Fund did resulted in losses, and proceeds were not

invested in any other manner that generated any returns at all for investors.

The order also finds that Hewko made payments of the Fund assets to various

entities and individuals who were not entitled to such payments. According to the
order, Hewko also made statements to investors about their investments that were not

true, including telling investors their withdrawal requests could not be satisfied

because the Fund assets were “in a trade” (when, in reality, the Fund assets were not

“in a trade” but rather had been dissipated) and telling at least one investor the

investor’s funds were not lost or gone, which also was not true.

Further, the order finds that Hewko solicited funds for participation in a

commodity pool but failed to register with the CFTC as an Associated Person of a

Commodity Pool Operator.

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/8546-22

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