Page 27 - 期货和衍生品行业监管动态（2024年6月刊）

期货和衍生品行业监管动态

密西西比南区）中承认共谋实施电信诈骗。2023 年 11 月 13 日，Alexander 被判

有罪。由于 Alexander 的有罪供述涉及一项或多项挪用公款、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 认定，Alexander 受《美国商品交易法》第 8a（2）（D）（iii）节关于

法定取消注册资格规定的约束，并据此永久撤销了其注册资格。

和解撤销 Alexander 的注册资格

Alexander 承认了撤销注册意向通知中的指控，同意 CFTC 撤销他作为商品

交易顾问和业务人员的注册资格。

CFTC Permanently Revokes Registrations of Mississippi-based Commodity

Trading Advisor and Associated Person (2024/6/13)

The Commodity Futures Trading Commission today issued an opinion and order

revoking the registrations of Ted Brent Alexander of Jackson, Mississippi. The CFTC

filed a Notice of Intent to Revoke Registration Pursuant to Section 8a(2) of the

Commodity Exchange Act (CEA) against Alexander on March 13, 2024. [See CFTC

Press Release No. 8876-24]. The CFTC action is based on Alexander’s guilty plea to

conspiracy to commit wire fraud in a federal criminal case.

Case Background

Alexander has been registered with the CFTC as a Commodity Trading Advisor

(CTA) and Associated Person (AP) since October 2008. On April 26, 2023, Alexander

pled guilty to one count of conspiracy to commit wire fraud in United States v.

Alexander, No. 3:20-cr-00031 (S.D. Miss.). On November 13, 2023, a judgment of

conviction was entered against Alexander. Because Alexander’s guilty plea involved a

crime involving one or more of embezzlement, theft, fraud, fraudulent conversion,

misappropriation of funds, securities or property, and/or false pretenses, federal

commodity laws allow Alexander’s registrations to be permanently revoked.

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