Page 27 - 期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)（2024年6月刊）
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期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
密西西比南區(qū)）中承認(rèn)共謀實(shí)施電信詐騙。2023 年 11 月 13 日，Alexander 被判
有罪。由于 Alexander 的有罪供述涉及一項(xiàng)或多項(xiàng)挪用公款、盜竊、欺詐、欺詐
性侵占、挪用資金、證券或財(cái)產(chǎn)以及/或虛假陳述的犯罪，根據(jù)聯(lián)邦商品交易法，
應(yīng)永久撤銷 Alexander 的注冊(cè)資格。
CFTC 認(rèn)定，Alexander 受《美國商品交易法》第 8a（2）（D）（iii）節(jié)關(guān)于
法定取消注冊(cè)資格規(guī)定的約束，并據(jù)此永久撤銷了其注冊(cè)資格。
和解撤銷 Alexander 的注冊(cè)資格
Alexander 承認(rèn)了撤銷注冊(cè)意向通知中的指控，同意 CFTC 撤銷他作為商品
交易顧問和業(yè)務(wù)人員的注冊(cè)資格。
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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