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期貨和衍生品行業(yè)監管動(dòng)態(tài)
federal securities laws and charges Cook with failing to file required reports
concerning Tallgrass securities transactions by family trusts. Without admitting or
denying the allegations in the complaint, Cook agreed to pay a civil penalty of
$801,742 and disgorge his illicit trading profits, with prejudgment interest. Cook also
agreed to an officer-and-director bar.
Without admitting or denying the allegations, each of the other four defendants
agreed to pay a civil penalty equal to the amount of their allegedly illicit trading
profits and disgorge their illicit trading profits, with prejudgment interest.
https://www.sec.gov/news/press-release/2024-34
5. 美國商品期貨交易委員會(huì )提起訴訟，永久撤銷(xiāo)被判有罪的密西西比州男子的
注冊（2024 年 3 月 13 日）
美國商品期貨交易委員會(huì )（CFTC）宣布，根據來(lái)自密西西比州杰克遜市的
Ted Brent Alexander 在聯(lián)邦刑事案件中所作的關(guān)于共謀實(shí)施電信詐騙的有罪供述，
CFTC 對其啟動(dòng)了一項注冊訴訟。
此前，基于 Alexander 被提起聯(lián)邦刑事起訴，指控其涉嫌六項證券和商品欺
詐共謀及電信詐騙的重罪， CFTC 暫停了他作為商品交易顧問(wèn)（commodity trading
advisor）和業(yè)務(wù)人員（associated person）的注冊資格。
案件背景
Alexander 自 2008 年起一直以商品交易顧問(wèn)和業(yè)務(wù)人員的身份在 CFTC 注冊。
CFTC 發(fā)布的意向通知指出，由于 Alexander 的有罪供述涉及一項或多項侵占、
盜竊、欺詐、欺詐性侵占、挪用資金、證券或財產(chǎn)以及/或虛假陳述的犯罪，根
據聯(lián)邦商品交易法，應永久撤銷(xiāo) Alexander 的注冊資格。
CFTC Files Action to Permanently Revoke Registrations of Mississippi Man
Convicted on Criminal Charges (2024/3/13)
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