Page 26 - 期货和衍生品行业监管动态（2024年6月刊）
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期货和衍生品行业监管动态
as a legal entity separate from himself.
As alleged in the complaint, when trading profits failed to materialize, the
defendants attempted to conceal their fraudulent scheme by issuing false account
documents to pool participants, including creating false account statements to
convince pool participants that the fund remained solvent, and later, creating false
trade confirmations to wrongfully explain Three Bridges’ loss of pool participants’
funds.
As further alleged in the complaint, Three Bridges and Rodgers acted as a
commodity pool operator (CPO) by soliciting, accepting, and receiving funds to trade
in commodity futures, but Three Bridges failed to register with the CFTC as a CPO,
as required. Additionally, Rodgers, as an agent of Three Bridges, acted as an
Associated Person (AP) of the CPO, but failed to register with the CFTC as an AP, as
required.
https://www.cftc.gov/PressRoom/PressReleases/8919-24
6. 美国商品期货交易委员会永久撤销密西西比州一位商品交易顾问及业务人
员的注册（2024 年 6 月 13 日）
2024 年 6 月 13 日，美国商品期货交易委员会（CFTC）发布意见和命令，
撤销密西西比州杰克逊市的 Ted Brent Alexander 的注册资格。CFTC 于 2024 年 3
月 13 日根据《美国商品交易法》（CEA）第 8a（2）节对 Alexander 发出了撤销
注册意向通知。【请参阅 CFTC 新闻稿 8876-24 号】。 CFTC 的行动基于 Alexander
在联邦刑事案件中对其共谋实施电信诈骗的有罪供述。
案件背景
Alexander 自 2008 年 10 月起注册为商品交易顾问（CTA）和业务人员（AP）。
2023 年 4 月 26 日，Alexander 在美国政府诉 Alexander 案（No. 3:20-cr-00031，
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