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 Tennessee Resident and Las Vegas-based Firm with Fraud and Misappropriation in $20 Million Commodity Pool Ponzi Scheme
CFTC Sanctions Chicago-based Walsh Trading Inc. $50,000 for Failing to Supervise an Employee's Handling of Customer Accounts
CFTC Charges Charlottesville, Virginia Man with Stealing $1 Million From Investors in a Ponzi Scheme Involving More than $10 Million
CFTC Charges Ponzi Scheme in Mansfield, Texas, Caused More Than 250 Investors to Lose at Least $10.9 Million
CFTC Charges Idaho Resident Daren L. Palmer with Operating $40 Million Ponzi Scheme
Anthony Ramunno, Jr., formerly of Alpharetta, Georgia, and His Company, Renaissance Asset Management LLC, Fined and Sanctioned in a $21 Million Ponzi Scheme
CFTC Charges New York Residents with Operating $1.3 Billion Investment Scam
CFTC Charges South Florida Firm, Zurich Futures & Options, Inc., and Michele LaBruce with Defrauding Customers of Over $1.4 Million in Commodity Options Scam
CFTC Charges Fund Manager Mark Bloom and His Firm, North Hills Management LLC, with Misappropriating Over $13 Million
Federal Court Order Freezes Assets of Illinois Commodity Pool Operator Brookshire Raw Materials Management, LLC and its Canadian Principals Based on CFTC Charges of Misappropriating More Than $4.6 Million in a Ponzi Scheme