Page 718 - 《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

根据同意令认定，Monex 从未披露其大多数客户都是亏损的。因此，Monex

关于贵重金属杠杆交易盈利能力的说法具有误导性。此外，Monex 客户期望从这

种交易中获利，但却遭受亏损。该同意令进一步认定，Louis 和 Michael Carabini

控制着 Monex，并对其非法活动负有责任。

CFTC 警告说，要求向受害者偿还资金的命令并不一定能追回所有损失，因

为不法行为人可能没有足够的资金或资产。CFTC 将继续为保护客户和确保追究

不法行为人的责任而积极斗争。

Federal Court Orders California Precious Metals Firm and Its Owners to Pay

$38 Million for Commodity Fraud and Registration Violations (2022/12/21)

The Commodity Futures Trading Commission today announced the U.S. District
Court for the Central District of California entered a consent order for permanent

injunction, monetary sanctions, and equitable relief against Monex Deposit Company,

Monex Credit Company, Newport Services Corporation, and their owners Louis

Carabini and Michael Carabini.

The order requires the defendants to pay $33 million in restitution to customers,

and a $5 million civil monetary penalty. The order further bars the defendants from

trading futures or options on a regulated market, unless such trading is for the purpose

of hedging. It also bans the defendants from registering in any capacity with the

CFTC for 10 years, and permanently enjoins them from engaging in off-exchange

leveraged retail commodity transactions or fraud.

“This settlement resolves a long-standing and significant precious metals case

that CFTC Enforcement staff fiercely and successfully litigated at the district court

level, up to the court of appeals, and back to the district court,” said Acting Director
of Enforcement Gretchen Lowe.

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