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 Charges Perry Jay Griggs, Rachelle Griggs and Aloha Trading Company, Inc. with Operating a Multi-Million Dollar Ponzi Scheme
Federal Court Orders More than $16.2 Million in Customer Restitution and Monetary Penalties against Texas Defendants Scott P. Kear, Sr., Jeffery L. Lyon and their Firms in CFTC Anti-Fraud Action
CFTC Charges Ohioans Kevin and Keelan Harris, Complete Developments LLC, Investment International Inc. and Three Ontario, Canada-based Defendants with Operating a Multi-Million Dollar Foreign Currency Ponzi Scheme
Federal Court Imposes More than $41.2 Million in Relief and Sanctions against Idaho-based Daren L. Palmer and His Company, Trigon Group LLC, in Commodity Pool Ponzi Scheme
CFTC Files Action to Revoke the Registrations of Cornerstone Capital Management, Inc.
CFTC Enforcement Program Filings Increase 14 Percent in Fiscal Year 2010
CFTC Sanctions Rosenthal Collins Group, L.L.C. More than $1.3 Million for Supervision Violations
CFTC Sanctions Triland USA Inc. $725,000 for Failing to Maintain Secured Customer Funds and Failing to Provide Timely Notice to the CFTC of the Deficiency
CFTC Charges Accounting Firms McGladrey & Pullen, LLP and Altschuler, Melvoin & Glasser LLP, and Partner G. Victor Johnson II with Failure to Audit Properly Sentinel Management Group, Inc.
CFTC Charges Rodney W. Whitney, Nicholas T. Cox and Their Trading Firm, Integra Capital Management LLC, with Operating a $3 Million Ponzi Scheme