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
CFTC Seeks to Revoke Registrations of Linda Faye Harris and her companies, CDH Forex Investments, LLC and CDH Global Holdings, LLC
CFTC Charges Lincolnshire Trading Partners, LLC. and Scott Geisinger with Registration Violations
CFTC Charges Nikolai S. Battoo and Four Companies He Controls with Fraud In Connection With Commodity Pools that Accepted Over $140 Million from U.S. Investors
Federal Court in Tennessee Orders Blue Sky Capital Management Corp. and its Principal, Gregory M. Schneider, to Pay $140,000 for Making False Statements to the National Futures Association
Federal Court in Texas Orders Christopher B. Cornett to Pay over $17 Million in Sanctions in Foreign Currency Fraud Action
Federal Court in California Orders Charles Steven Goodie and His Business, CSG Commodity Service Group, to Pay Nearly $1.2 Million to Settle CFTC Commodity Pool Fraud Action
CFTC Charges Californian Jeffrey Gustaveson with Fraud, Misappropriation, and Issuing False Statements in Commodity Pool Scheme
CFTC Charges California Resident Marc Perlman and his company, iGlobal Strategic Management, LLC, with Solicitation Fraud and Misappropriation in Commodity Pool Ponzi Scheme
CFTC Charges Texas Resident Jonathan Hansen and His Company, J. Hansen Investments, LLC, with Commodity Pool Fraud, Misappropriation, and Commingling of Funds
CFTC Orders Foreign Traders SMP Bank and Epaster Investments, Ltd. to Pay $980,000 for Engaging in a Wash Sale Scheme in the CME’s Japanese Yen Options Contract