Page 82 - 《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

$3,573,860 penalty, which is triple the profits Mikkelsen made committing this fraud.

“The CFTC will continue to partner with foreign regulators and other agencies to

aggressively pursue individuals who use our markets to misappropriate funds from

unsuspecting victims no matter where these individuals may reside,” said CFTC

Acting Director of Enforcement Vincent McGonagle.

Case Background

The order and final judgment resolve a CFTC enforcement case filed on May 18,

2020.

The order found that Casper Mikkelsen falsely promised clients he would use his

discretion to trade forex on their behalf. In turn, his clients invested at least

$1,536,782.47 with GNTFX. Rather than using those funds for forex trading as

promised, Casper Mikkelsen misappropriated the funds. The order found that
Mikkelsen used the clients’ funds for his own benefit and to pay certain clients

purported forex trading profits as is typical in a Ponzi scheme. The order also found

that Mikkelsen was required to register as a commodity trading advisor but was not

registered.

The CFTC cautions that orders requiring repayment of funds to victims may not

result in the recovery of any money lost because the wrongdoers may not have

sufficient funds or assets. The CFTC will continue to fight vigorously for the

protection of customers and to ensure the wrongdoers are held accountable.

https://www.cftc.gov/PressRoom/PressReleases/8512-22

5. 美国商品期货交易委员会在 2020 年商品基金欺诈案中获得陪审团胜诉裁决

投资组合经理因作出虚假或误导性陈述而被认定承担责任 （2022 年 4 月 19 日)

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