Page 384 - 《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 执法代理主任 Gretchen Lowe 表示：“CFTC 致力于维护市场的诚信并

保护客户的利益。正如我们在本案开始时所说，非法使用内部或机密信息将损害

市场信心，这种行为是不能被容忍的。”

CFTC 提供了大量证人和书面证据，包括即时聊天记录和交易数据，以证明

Gizienski 多次泄露客户名称和订单内容，并与自己的客户直接进行对手交易。

除了陪审团裁定的 749 万美元民事罚款外，高级法官 Sim Lake 还对

Gizienski 处以为期 120 天的交易禁令和注册禁令；Lake 法官还要求 EOX 在 60

日内建立适当的制度和程序，并永久禁止两名被告出现进一步违反《美国商品交

易法》（CEA）的行为。

CFTC Wins $7.49 Million Jury Verdict in Texas Broker Trading Case
(2022/8/16)

The Commodity Futures Trading Commission today announced a jury in the

Southern District of Texas issued a verdict finding Andrew Gizienski and EOX

Holdings, LLC (EOX) liable for secretly taking the other side of their customers’

orders without consent 65 times and disclosing their customers’ confidential order

information five times, in violation of CFTC regulations. The jury awarded $7 million

in civil monetary penalties for these violations. The jury also found EOX liable for

both failing to supervise Gizienski and to create and/or maintain required copies of

seven pre-trade communications. The jury awarded $490,000 in civil monetary

penalties for these violations.

The verdict was announced August 9 after a 5-day trial in Houston, Texas. The

trial was the culmination of an action the CFTC brought against Gizienski and EOX

on September 28, 2018, alleging that defendants misused customer information by
trading on material, non-public information and disclosing confidential customer

information to a favored client.

329
回 到 首 页 回 到 目 录