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Date de publication: 1 oct. 2012
Auteur: Y B
Noter cette article :

La Commodity Futures Trading Commission a publié un communiqué de presse dans lequel elle annonce la condamnation de Martin B. Rosentha pour avoir aidé et encouragé à commettre de fausses déclarations à la NFA, pour défaut d'inscription en tant que Commodity Trading Advisor, et enfin pour violation d'une ordonnance de la CFTC.

Le montant de l'amende s'élève à 1,2 million de dollars.

Résumé :

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court order requiring Martin B. Rosenthal of Fort Lauderdale, Fla., to pay a civil monetary penalty of $598,000 and disgorgement of $598,000 for aiding and abetting the willful concealment of material facts and the making of false statements to the National Futures Association (NFA), violating a previous CFTC order, and acting as an unregistered Commodity Trading Advisor (CTA). The order also imposes permanent trading and registration bans against Rosenthal and permanently prohibits him from further violations of the Commodity Exchange Act, as charged.

The consent order for permanent injunction, entered on September 27, 2012, by Judge James I. Cohn of the U.S. District Court for the Southern District of Florida, stems from a CFTC complaint filed on March 12, 2012 (see CFTC Press Release 6203-12, March 12, 2012).

The order finds that Rosenthal aided and abetted the willful concealment of material facts and the making of false statements to the NFA about a business relationship that Angus Jackson of Florida maintained with Rosenthal, by creating fake invoices purporting to show consulting expenses incurred by Rosenthal’s company that were, in fact, compensation paid to Rosenthal for trading client accounts.

Additionally, the order finds that from approximately January 2000 to at least December 2008, Rosenthal traded futures and options for his clients at Angus Jackson, while failing to register as a CTA and in violation of a trading prohibition for failing to comply with a previous CFTC order. An earlier CFTC order prohibited Rosenthal from trading on registered entities because he failed to pay a 1988 CFTC reparations award.

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