Page 27 - 期货和衍生品行业监管动态（2024年3月）
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期货和衍生品行业监管动态
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. 美国商品期货交易委员会提起诉讼，永久撤销被判有罪的密西西比州男子的
注册（2024 年 3 月 13 日）
美国商品期货交易委员会（CFTC）宣布，根据来自密西西比州杰克逊市的
Ted Brent Alexander 在联邦刑事案件中所作的关于共谋实施电信诈骗的有罪供述，
CFTC 对其启动了一项注册诉讼。
此前，基于 Alexander 被提起联邦刑事起诉，指控其涉嫌六项证券和商品欺
诈共谋及电信诈骗的重罪， CFTC 暂停了他作为商品交易顾问（commodity trading
advisor）和业务人员（associated person）的注册资格。
案件背景
Alexander 自 2008 年起一直以商品交易顾问和业务人员的身份在 CFTC 注册。
CFTC 发布的意向通知指出，由于 Alexander 的有罪供述涉及一项或多项侵占、
盗窃、欺诈、欺诈性侵占、挪用资金、证券或财产以及/或虚假陈述的犯罪，根
据联邦商品交易法，应永久撤销 Alexander 的注册资格。
CFTC Files Action to Permanently Revoke Registrations of Mississippi Man
Convicted on Criminal Charges (2024/3/13)
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