Page 41 - 期货和衍生品行业监管动态（2024年4月）

期货和衍生品行业监管动态

巨大利润（每月 8-25％）；商品基金参与者将以极低的风险实现每月 8-25％的资

金利润；被告使用商品基金参与者的存放资金进行外汇交易；商品基金参与者可

以在提出请求后的三至五个工作日内提取他们的资金。被告未按承诺进行商品基

金参与者资金交易，而是挪用了商品基金参与者的资金，以满足 Nawabi 自身的

利益，并以类似庞氏骗局的方式支付给其他商品基金参与者。为了掩盖他们的挪

用行为，被告制作并发出了虚假账单，歪曲商品基金参与者本应获得的交易回报。

尽管被屡次请求，被告仍未将资金归还商品基金参与者。

CFTC 警告称，向受害者返还资金的命令不能保证失去的资金得以恢复，因

为违法者可能没有足够的资金或资产。

Federal Court Orders California Man and His Company to Pay $9 Million in

Restitution and Penalties for Forex Fraud (2024/4/15)

The Commodity Futures Trading Commission today announced the entry of a

consent order in the U.S. District Court for the Eastern District of California imposing

restitution and a civil monetary penalty against Eshaq M. Nawabi, d/b/a/ Nawabi

Enterprise, and Hyperion Consulting Inc. The order requires the defendants to pay

$4.5 million in restitution to victims of the fraud and a $4.5 million civil monetary

penalty.

Today’s order follows a prior consent order the court entered on December 6,

2023, which, in addition to finding the defendants liable for fraud, enjoins them from

future violations of the Commodity Exchange Act and CFTC regulations, as charged

in the complaint, and permanently bans them from registering with the CFTC and

trading on any registered entity. Today’s order fully resolves the CFTC action filed on

April 26, 2022. [See CFTC Press Release No. 8524-22].

Case Background

The order finds from approximately October 2019 through April 22, 2022, the

defendants solicited pool participants to deposit money to trade forex. To persuade

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