Page 26 - 期貨和衍生品行業監管動態（2024年6月刊）
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期貨和衍生品行業監管動態
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. 美國商品期貨交易委員會永久撤銷密西西比州一位商品交易顧問及業務人
員的注冊（2024 年 6 月 13 日）
2024 年 6 月 13 日，美國商品期貨交易委員會（CFTC）發布意見和命令，
撤銷密西西比州杰克遜市的 Ted Brent Alexander 的注冊資格。CFTC 于 2024 年 3
月 13 日根據《美國商品交易法》（CEA）第 8a（2）節對 Alexander 發出了撤銷
注冊意向通知?！菊垍㈤?CFTC 新聞稿 8876-24 號】。 CFTC 的行動基于 Alexander
在聯邦刑事案件中對其共謀實施電信詐騙的有罪供述。
案件背景
Alexander 自 2008 年 10 月起注冊為商品交易顧問（CTA）和業務人員（AP）。
2023 年 4 月 26 日，Alexander 在美國政府訴 Alexander 案（No. 3:20-cr-00031，
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