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
02/27/2013	Federal Court in Florida Enters Preliminary Injunction Order against Hunter Wise Commodities, LLC, Lloyds Commodities, LLC, and 18 Other Defendants in Connection with Operating a Multi-Million Dollar Fraudulent Precious Metals Scheme Order: Hunter Wise Commodities, LLC, et al.
02/25/2013	Federal Court in Massachusetts Imposes $600,000 Penalty on Jeffrey Liskov and His Company, EagleEye Asset Management, for Committing a $3 Million Forex Fraud Order: Jeffrey Liskov, et al.
02/21/2013	CFTC Charges CME Group’s New York Mercantile Exchange and Two Former Employees with Disclosing Material Nonpublic Information about Customer Trades Complaint: William Byrnes, et al.
02/19/2013	CFTC Orders Enskilda Futures Limited to Pay a $125,000 Civil Monetary Penalty for Failing to Meet Minimum Capital Requirements Due to Margin Errors Order: Enskilda Futures Limited
02/13/2013	Federal Court in Nebraska Orders Omaha Resident Michael J. Welke to Pay $387,000 to Settle Commodity Pool Fraud Charges Order: Michael J. Welke
02/12/2013	Federal Court in Texas Orders Jonathan Hansen and His Company, J. Hansen Investments, LLC, to Pay over $1.3 Million to Settle Commodity Pool Fraud Action Order: J. Hansen Investments, LLC et al.
02/11/2013	CFTC Charges South Carolina Resident Robert Stanley Harrison with Commodity Pool Fraud Complaint: Robert Stanley Harrison Order: Robert Stanley Harrison
02/08/2013	CFTC Sanctions Gelber Group, LLC $750,000 for Trading Abuses on Two Exchanges Order: Gelber Group, LLC Order: Martin A. Lorenzen Commissioner Jill E. Sommers’ Concurrence in the Matter of Gelber Group LLC and… Commissioner Bart Chilton’s Concurring in part and Dissenting in part to the Se…
02/06/2013	Federal Court in Texas Orders Rodney Wagner and Roger Wagner, and their company GID Group, Inc., to Pay Over $2.4 Million for Fraud in Foreign Currency (Forex) Ponzi Scheme Order: GID Group, Inc., et al.
02/06/2013	CFTC Orders The Royal Bank of Scotland plc and RBS Securities Japan Limited to Pay $325 Million Penalty to Settle Charges of Manipulation, Attempted Manipulation, and False Reporting of Yen and Swiss Franc LIBOR Order: The Royal Bank of Scotland plc and RBS Securities Japan Limited Statement of Chairman Gary Gensler on RBS Settlement Statement of Commissioner Bart Chilton on RBS Settlement

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