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
Federal Court Orders Convict Perry Jay Griggs and His Wife to Pay $2.1 Million Civil Penalty for Multi-Million Dollar Commodity Pool Fraud and Misappropriation
Forex Capital Markets LLC Ordered to Pay More Than $14.2 Million to Settle CFTC Charges Relating to Its Failure to Supervise Customer Accounts
CFTC Charges Oscar Hernandez and His Florida Companies with Operating $3 Million Commodity Pool Ponzi Scheme
CFTC Charges Alpha Trade Group, S.A. and Six Individuals with Fraud and Misappropriation in Connection with a $1.7 Million Foreign Currency and Futures Scheme
CFTC Charges National Accounting Firm McGladrey & Pullen, LLP, and Partner David Shane with Failure to Properly Audit One World Capital Group, a Former Registered Futures Commission Merchant
CFTC Charges California Resident James D. Crombie and Paron Capital Management, LLC with Making False, Fictitious, or Fraudulent Statements to the National Futures Association
CFTC Charges North Carolina Resident Toby D. Hunter and Two of His Companies with Fraud and Misappropriation in Multi-Million Dollar Commodity Scheme
CFTC Charges Massachusetts Man Jeffrey Liskov and His Company, EagleEye Asset Management, LLC, with Committing a $3 Million Forex Fraud
CFTC Sues 11 Foreign Currency Firms in Second Nationwide Sweep Against Unregistered Firms
CFTC Charges North Carolinian Roy Scarboro, Jr. with Solicitation Fraud and Misappropriating Customer Funds in Forex Scheme