US CFTC bans Andrew Middlebrooks from trading and registration
→Commodity-pool firms must screen barred principals before solicitation
Change
A US federal court entered a CFTC consent order permanently barring Andrew Middlebrooks and his firm from trading for others, soliciting funds and CFTC registration.
Why it matters
The order resolves CFTC fraud claims tied to a Michigan commodity pool. The defendants cannot solicit trading funds, trade for others or register with the CFTC.
Implications
- → Commodity-pool compliance teams must screen principals and solicitors for CFTC trading and registration bans.
- → Registration teams must block filings tied to Andrew Middlebrooks or EIA All Weather Alpha Fund I Partners.
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Source
View on CFTC