Page 22 - 期货和衍生品行业监管动态（2024年8月刊）

期货和衍生品行业监管动态

该决定是基于 NFA 商业行为委员会（BCC）提交的控告书和 East West Global

及 Adrian 的和解申请作出的，由 NFA 听证小组发布。在和解申请中，公司和

Adrian 既未承认也未否认控告书中的指控。

商业行为委员会指控 East West Global 和 Adrian 从事涉及他们运营的商品基

金 iFund Diversified I, LLC（基金）的欺诈性行为，违反了 NFA 合规规则第 2-2

（a）条、第 2-4 条、第 2-29（a）条和第 2-29（b）条。控告书称 East West Global

和 Adrian 对基金做出了重大更改，包括公司和 Adrian 如何使用参与者的退休基

金，这些更改完全改变了投资的期限，但未能充分向参与者披露这些更改及其后

果，也未以参与者的最大利益为出发点。控告书还指控 East West Global 和 Adrian

误导参与者，使他们在基金存在重大亏损的情况下仍相信能够收回初始投资，并

进行了具有欺骗性和误导性的沟通及宣传。

上述控告书和决定内容的全文可在 NFA 网站上查阅。

NFA Permanently Prohibits Glencoe, Ill. Commodity Pool Operator East West

Global LLC and Its Principal Luke Adrian from NFA Membership and

Principal Status (2024/8/5)

NFA has permanently prohibited East West Global LLC (East West Global), a

former NFA Member commodity pool operator located in Glencoe, Ill., from

reapplying for membership and from acting or being listed as a principal of an NFA

Member. NFA has also permanently prohibited Luke James Adrian (Adrian), a former

principal and associated person of East West Global, from applying for NFA

membership, reapplying for NFA associate membership and from acting or being

listed as a principal of an NFA Member.

The Decision, issued by an NFA Hearing Panel, is based on a Complaint issued

by NFA’s Business Conduct Committee (BCC) and a settlement offer submitted by

East West Global and Adrian. In the settlement offer, the firm and Adrian neither

admitted nor denied the allegations in the Complaint.

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