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 Settles Action against Aaron Klein for Failing to Disclose He Was a Registrant’s Principal
CFTC Charges Mitchell Brian Huffman of North Carolina with Operating a Fraudulent $3.2 Million Commodity Pool Scheme
Federal Court Orders Texas Resident Robert D. Watson to Pay $31 Million for Defrauding Customers, Misappropriating Millions of Dollars, and Providing Fictitious Records in Forex Scheme
Georgia Federal Court Enters Order for Permanent Injunction against Joseph L. Autry, Jr. and His Company, Autry Capital Management LLC, for Commodity Fraud
CFTC Charges Puerto Rico Resident Angel F. Collazo and his Companies, ACJ Capital Inc. and Solid View Capital LLC, in Forex Fraud Ponzi Scheme
CFTC Obtains Permanent Injunction against British Virgin Island Firm InterForex, Inc. for Acting as an Unregistered Retail Forex Dealer; Firm Ordered to Modify Website
CFTC Charges Texas Resident Christopher B. Cornett in Foreign Currency Fraud Action
Arizona Federal Court Orders Anthony Eugene Linton to Pay More Than $1.7 Million for Operating Ponzi Scheme
CFTC Issues Consumer Advisory Alerting Public to Possible Precious Metals Fraud
CFTC Orders Conn. Resident Timothy Michael Murphy and His Company, Centurion Global Capital Management LLC, to Pay $360,000 for Commodity Pool Solicitation Fraud