Page 610 - 《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

进行交易，并与不包括 Tippett 在内的其他计划参与者分享交易利润。CFTC 先

前已就Clark 和 Miller在该计划中的行为提起了指控。见[CFTC Press Release No.
（

8490-22] [CFTC Press Release No. 8468-21]）

此外，行政令还查明 Tippett 于 2016 年 9 月 15 日就洲际交易所（ICE）对某

些由 Classic 提供经纪服务的大宗商品交易的调查向 ICE 作了虚假陈述。根据行

政令，Tippett 通过这些虚假陈述来掩盖 Classic 的所有者和总裁 Mathew Webb 的

某些不当行为，CFTC 先前已对 Webb 的这些行为提起指控。（见[CFTC Press

Release No. 8030-19]）

2021 年 8 月 17 日，Tippett 在美国得克萨斯州南部地区法院针对其提起的另

一起平行的刑事诉讼中认罪。（见(U.S. v. Tippett, 4:21-cr-364)）

CFTC Charges Former Energy Broker with Paying Brokerage Kickbacks and

Misappropriating Nonpublic Information (2022/11/16)

The Commodity Futures Trading Commission today issued an order

simultaneously filing and settling charges against Lee Tippett, a former energy broker

with Classic Energy, LLC, for participating in a scheme to pay kickbacks to Matthew

Clark, a trader employed by one of Classic’s brokerage customers. The order finds

Tippett made these kickback payments to Clark in exchange for Clark sending more

brokerage business from his employer to Classic. According to the order, Tippett also

participated in a scheme to misappropriate confidential block trade order information

from the same Classic customer, facilitated fictitious trades, and made false

statements to ICE Futures US.

The order requires Tippett to disgorge $695,000 in ill-gotten gains, imposes a
$500,000 civil monetary penalty, permanently bans Tippett from trading commodity

interests, and requires him to comply with undertakings never to apply for registration

or engage in any activity requiring registration with the CFTC.

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