Page 504 - 《期货和衍生品行业监管动态》（2022年合集）
P. 504

期货和衍生品行业监管动态




                   公司向交易平台引入了由 150 多名美国散户投资的八个商品基金，并从他们那里


                   获得报酬。作为 Quantum Financial 的实际控制人，Gospodarek 对这些违法行为


                   承担责任。



                        此外，行政令还查明，从 2017 年 7 月到 2019 年 1 月，Gospodarek 在未向


                   CFTC 注册的情况下作为商品交易顾问（CTA）的业务代表，协助 CTA 招揽客


                   户，并通过网络研讨会、视频以及代表 CTA 答复个人客户问题的方式，就外汇

                   和贵金属杠杆交易的可行性向客户提供建议。Gospodarek 还发现并形成外汇和贵


                   金属杠杆交易策略，并通过同样的方式向客户推广。



                        接受 Gospodarek 和 Quantum Financial 的和解请求时，CFTC 认可了他们在


                   执法部门调查此事期间提供的实质性合作。


                   CFTC Orders Wisconsin Resident and Company to Pay Over $190,000 for

                   Failing to Register as an Introducing Broker and Other Violations (2022/9/26)


                        The Commodity Futures Trading Commission today issued an order filing and

                   simultaneously settling charges against Jason Gospodarek(Gospodarek) and Quantum

                   Financial Network, LLC (Quantum Financial), both located in Wisconsin, for their

                   failure to register as an introducing broker, and against Gospodarek for his failure to

                   register as an associated person of a commodity trading advisor, as required by

                   the Commodity Exchange Act (CEA). Gospodarek is Quantum Financial’s principal

                   and only employee.


                        The order requires Gospodarek and Quantum Financial to pay a $100,000 civil

                   monetary penalty. The respondents will also be required to pay $92,894.85 in

                   disgorgement and requires them to cease and desist from further CEA violations.


                        Case Background






                                                             432                               回 到 目 录
                   回 到 首 页
   499   500   501   502   503   504   505   506   507   508   509