Page 390 - 《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

among other things, lure new fund participants and convince existing fund
participants to maintain or increase their contributions to the fund. As alleged, these

misrepresentations and omissions included claims the fund was extraordinarily

profitable when in fact it suffered catastrophic trading losses; claims grossly

exaggerating the amount of assets under management in the fund; claims the fund’s

financial statements were audited by an outside auditing firm when in fact they were

not; and false claims the fund had a five- or six-member advisory board comprised of

individuals with significant experience in the financial and investment industries. The

defendants made these false claims, in part, by issuing false reports to existing and

prospective fund participants in the form of falsified monthly account statements and

fabricated financial statements, among other things.

Parallel Civil Action

On May 18, 2022, the Securities and Exchange Commission filed a civil

injunctive action against Middlebrooks and his company in the same court alleging
conduct similar to that alleged in the CFTC’s complaint.

https://www.cftc.gov/PressRoom/PressReleases/8576-22

335
回 到 首 页 回 到 目 录