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
08/21/2009	U.S. District Court Orders Five Defendants in CFTC Action to Pay More than $4 million in Civil Penalties for Engaging in Illegal Foreign Currency Options Scheme CFTC Press Release 4946-04 Order: STG Global Trading, Inc. and Graystone Browne Financial, Inc. Order: Andrew Stern and QIX, Inc. Order: Joseph Arsenault
08/20/2009	CFTC and the State of California Charge San Diego Forex Firm MAK 1 Enterprises Group, LLC and Its CEO Mohit A. Khanna in Multi Million Dollar Scam Order: Mohit A. Khanna, et al. Complaint: CFTC v. Mak1 Group Enterprises, LLC
08/12/2009	Amaranth Entities Ordered to Pay a $7.5 Million Civil Fine in CFTC Action Alleging Attempted Manipulation of Natural Gas Futures Prices Order: CFTC v. Amaranth Advisors L.L.C., et al. U.S. Commodity Futures Trading Commission Charges Hedge Fund Amaranth and its F…
08/10/2009	CFTC Obtains $7.6 Million Asset Freeze in New York Fraud Matter Opinion and Order: Janet Walsh CFTC Charges New York Residents with Operating $1.3 Billion Investment Scam
08/07/2009	CFTC Charges Charlotte, North Carolina Couple Sidney and Charlotte Hanson and their Companies with Operating a $22.5 Million Foreign Currency Ponzi Scheme Complaint: Queen Shoals, et al. Order: Queens Shoals, et al. Statutory Restraining Order: Queen Shoals, et al.
08/07/2009	CFTC Issues a Notice to Suspend or Modify the Registration of Indicted Floor Broker David G. Sklena of Skokie, Illinois Notice: David G. Sklena CFTC Charges Two Chicago Board of Trade Floor Brokers with Defrauding Customers…
08/06/2009	California Court Imposes Fines and Other Sanctions Totaling More than $25 Million against Safevest LLC of Mission Viejo, California and its Owners, Jon G. Ervin and John V. Slye Order: Safevest, et al. Order: Ervin & Slye U.S. Commodity Futures Trading Commission Obtains Federal Court Order Freezing …
07/20/2009	Florida Court Enters Orders Imposing Fines and Other Sanctions against Randy Burstein and Nader Yazdani in CFTC Action Charging Commodity Options Fraud Order: Randy Burstein Order: Nader Yazdani CFTC Press Release 5032-04 Florida Federal Court Imposes More than $16 Million in Sanctions against Two So… Former Employee of Pompano Beach Commodity Firm, Leslie Weiner, Settles Charges…
07/14/2009	CFTC Charges Weston, Florida Man With Operating a $14 Million Dollar Fraudulent Commodities Scheme Complaint: CFTC v. Sean Nathan Healy, et al. Order: CFTC v. Sean Nathan Healy, et al.
07/09/2009	CFTC Charges Georgia Man with Operating a Multi-Million Dollar Forex Ponzi Scheme Complaint: CFTC v. Eldon A. Gresham, et al. Order: CFTC v. Eldon A. Gresham, et al.

Enforcement Actions

Resources

Actions

Sitemap

CFTC Headquarters