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
09/30/2010	CFTC Charges Texas-based Company and its Principals with Issuing False Account Statements in Foreign Currency Anti-Fraud Action Complaint: CFTC v. Total Call Group, Inc., et al.
09/30/2010	CFTC Imposes Permanent Trading Ban on Kevin McCormick for Submitting Trading Cards with Fictitious Commodity Futures Trades Order: Kevin M. McCormick
09/30/2010	CFTC Charges Rodney W. Whitney, Nicholas T. Cox and Their Trading Firm, Integra Capital Management LLC, with Operating a $3 Million Ponzi Scheme Complaint: CFTC v. Integra Capital Management, LLC, et al. Order: CFTC v. Integra Capital Management, LLC, et al.
09/28/2010	CFTC Charges People’s Alternative, Inc. and its Principals with Commodity Pool Fraud and Misappropriation Complaint: CFTC v. Peoples Alternative, Inc., et al. Order: CFTC v. Peoples Alternative, Inc., et al.
09/23/2010	Federal Court Freezes Assets of Mark Alan Vanderploeg and His Companies, Midwest Land & Livestock, Inc., SKV Farms Inc. and DCV Farms, Inc. Complaint: CFTC v. Mark Vanderploeg, et al. Order: CFTC v. Mark Vanderploeg, et al.
09/21/2010	CFTC Charges Joseph L. Autry, Jr. and Autry Capital Management with Commodity Pool Ponzi Scheme Fraud, Misappropriation and Issuing False Customer Reports Complaint: CFTC v. Joseph L. Autry, et al.
09/20/2010	CFTC Sanctions Former Metals Trader for Defrauding General Motors Order: CFTC v. Daniel J. Bealko
09/14/2010	CFTC Sanctions Houston-based Vitol Inc. and Vitol Capital Management Ltd. $6 Million for Willfully Failing to Disclose Material Facts to the New York Mercantile Exchange Order: CFTC v. Vitol Inc., et al.
09/02/2010	Honolulu-based Marvin Cooper and His Company, Billion Coupons, Inc., Ordered to Pay More than $6.2 Million in Sanctions in Connection with Ponzi Scheme Targeting the Deaf Community Summary Judgment: CFTC v. Billion Coupons, Inc., et al. CFTC Charges Hawaii-based Marvin Cooper and Billion Coupons, Inc. with Operatin…
08/30/2010	Terrence R. Pipenhagen of Orlando, Fla. and His Two Companies to Pay $150,000 Penalty to Settle CFTC Fraud Charges Order: CFTC v. Terrence R. Pipenhagen, et al.

Enforcement Actions

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