Enforcement Actions

The CFTC Division of Enforcement investigates and prosecutes alleged violations of the Commodity Exchange Act and Commission regulations. The CFTC takes enforcement actions against individuals and firms registered with the Commission, those who are engaged in commodity futures and option trading on designated domestic exchanges, and those who improperly market futures and options contracts.

View Dispositions
View Opinions and Adjudicatory Orders

Enforcement Advisory: Updated Advisory on Self Reporting and Full Cooperation

Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Individuals

Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Companies

Enforcement Advisory: Advisory on Self Reporting and Cooperation for CEA Violations Involving Foreign Corrupt Practices

See CFTC Press Release 7518-17 (January 19, 2017) and
Speech of James McDonald, Director of the Division of Enforcement Commodity Futures Trading Commission Regarding Perspectives on Enforcement: Self-Reporting and Cooperation at the CFTC (September 25, 2017)

Date	ENFORCEMENT ACTIONS
11/12/2013	Federal Court in Massachusetts Orders Lyndon Parrilla to Pay over $17 Million in Disgorgement, Restitution, and a Penalty in Forex Fraud Scheme Order: Green Tree Capital, et al Memorandum Order: Lyndon Lydell Parrilla
11/06/2013	CFTC Obtains Restraining Order against Commodity Pool Operator and Commodity Trading Advisor, AlphaMetrix, LLC, Alleging Misappropriation of Pool Funds and Sending False or Misleading Statements Complaint: Alphametrix Group, LLC Order: Alphametrix, LLC
11/06/2013	CFTC Charges Donald R. Wilson and his Company, DRW Investments, LLC, with Price Manipulation Complaint: Donald R. Wilson and DRW Investments, LLC
11/05/2013	CFTC Charges Illinois Resident, CME Floor Broker and Trader James C. Yadgir with Violating Live and Feeder Cattle Futures Speculative Position Limits Complaint: James C. Yadgir
10/29/2013	Federal Court Orders California Man Jeffrey Gustaveson to Pay over $1.6 Million for Fraud Misappropriation, and False Account Statements in Commodity Pool Scheme Order of Recommendation: Jeffrey Gustaveson Order: Jeffrey Gustaveson
10/29/2013	Federal Court Orders Louis J. Giddens, Jr., Anthony W. Dutton, and Michael Gomez to Pay Combined Restitution and Penalties of over $400,000 for Foreign Exchange Currency Scheme Consent Order: Louis J. Giddens, Jr., et al
10/29/2013	Rabobank to Pay $475 Million Penalty to Settle Manipulation and False Reporting Charges Related to LIBOR and Euribor Order: Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A. Examples of Misconduct From Written Communications Statement of Chairman Gary Gensler on Settlement Order against Rabobank
10/24/2013	CFTC Releases Enforcement Division’s Annual Results
10/16/2013	CFTC Files and Settles Charges Against JPMorgan Chase Bank, N.A., for Violating Prohibition on Manipulative Conduct In Connection with “London Whale” Swaps Trades Order: JPMorgan Chase Bank, N.A. Concurrence of Commissioner Bart Chilton in the Matter of JPMorgan Chase, N.A. … Statement of Commissioner Scott D. O'Malia Regarding JPMorgan's Use of Manipula… CFTC Rule 180.1 Summary Fact Sheet CFTC Rule 180.1
09/30/2013	CFTC Charges Lions Wealth Holdings, Inc., Lions Wealth Services, Inc., 20/20 Precious Metals, Inc. and Bharat Adatia in Multi-Million Dollar Fraudulent Precious Metals Scheme Complaint: Lions Wealth Holdings, Inc., et al

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