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
06/27/2013	CFTC Charges MF Global Inc., MF Global Holdings Ltd., Former CEO Jon S. Corzine, and Former Employee Edith O’Brien for MF Global’s Unlawful Misuse of Nearly One Billion Dollars of Customer Funds and Related Violations Complaint: MF Global Inc., et al Order: MF Global Inc.
06/26/2013	Federal Court in Colorado Orders Michael Gale to Pay More than $1.2 Million to Settle Fraud Charges in CFTC Enforcement Action Order: Michael Gale
06/25/2013	Federal Court Orders Alpha Trade Group S.A. and its Employees and Agents to Pay Combined Restitution and Penalties of $5.779 Million for Defrauding Pool Participants Amended Order: Alpha Trade Group, S.A. et al.
06/25/2013	Federal Court Orders Chicago Resident Christopher Varlesi to Pay over $1.3 Million to Settle Ponzi Scheme Fraud and Misappropriation Action Order: Christopher Varlesi
06/25/2013	CFTC Charges North Carolina Resident C. David Wright with Commodity Pool Fraud Complaint: CFTC v. Carl David Wright
06/20/2013	Federal Court in North Carolina Orders Toby D. Hunter, Prestige Capital Advisors, and D2W Capital Management to Pay over $11.7 Million for Fraud and other Violations in Commodity Pool and Managed Foreign Currency (Forex) Schemes Order: D2W Capital Management, LLC et al Order: Prestige Capital Advisors, LLC et al Order: Toby D. Hunter
06/19/2013	CFTC Orders ABN AMRO Clearing Chicago LLC to Pay $1 Million to Settle Charges of Segregated and Secured Fund Deficiencies, a Minimum Net Capital Violation, Books and Records Violation, and Supervision Failures Order: Abn Amro Clearing Chicago, LLC
06/18/2013	Federal Court in Puerto Rico Orders Angel F. Collazo, ACJ Capital, Inc., and Solid View Capital LLC to Pay over $1.5 Million to Settle Forex Fraud Charges in CFTC Enforcement Action Order: Felgi Investments Corp., et al Order: ACJ Capital, Inc., Solid View Capital LLC, et al
06/17/2013	CFTC Charges North Carolina Resident James A. Shepherd and James A. Shepherd, Inc. with Commodity Pool Fraud Complaint: James A. Shepherd, et al
06/12/2013	CFTC Files Enforcement Action against Arizona Resident for Issuing False Account Statements and Operating as an Unregistered Commodity Pool Operator Complaint: Thomas L. Hampton

Enforcement Actions

Resources

Actions

Sitemap

CFTC Headquarters