Page 453 - 《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

行政令查明，大约从 2018 年 4 月到 2021 年 6 月，Goldline 招揽客户并接受

了具有杠杆、保证金或融资性质的贵金属交易订单。有散户参与了这些没有在指

定合约市场或衍生品交易执行设施上进行的交易。

行政令进一步查明，在提供非法交易时，Goldline 参与了销售欺诈行为。

Goldline 虚报了当客户选择将其贵金属售回给 Goldline 时为保证客户保本所愿意

提高出价的比例。随后，Goldline 谎称，自己非第三方贵金属零售交易商将回购

客户先前从 Goldline 处购买的金属。这一虚假陈述与 Goldline 在招揽材料和客户

账户协议中告知客户的内容相矛盾。Goldline 的管理层明知这些对客户的虚假陈

述，但并未予以纠正。

A-Mark 作为 Goldline 的负责人，应对 Goldline 的违规行为承担责任。

CFTC Orders Two California Precious Metals Companies to Pay Over $1

Million for Fraud, Illegal Offering of Retail Commodity Transactions, and

Registration Violations (2022/9/22)

The Commodity Futures Trading Commission today issued an order filing and

simultaneously settling charges against Goldline, Inc. (Goldline) and A-Mark

Precious Metals, Inc. (A-Mark), both California companies, for fraud in connection

with off-exchange retail commodity transactions; failing to register as a Futures

Commission Merchant (FCM); and engaging in illegal off-exchange retail commodity

transactions. The order requires Goldline and A-Mark to disgorge $627,801.78; pay,

jointly and severally, a $450,000 civil monetary penalty; and to cease and desist from

further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as

charged.

Case Background

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