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
U.S District Court Imposes Sanctions of More than $2.9 Million Against Foreign Fund, Two Individuals, and a Tennessee Corporation in CFTC Anti-Fraud Action
CFTC Orders Sempra Energy Trading LLC to Pay $175,000 to Settle Trading Card Violations in Connection with Natural Gas Futures Trading on the NYMEX
California Commodity Pool Operator and its Sole Manager Charged in Federal Court with Commodity Pool Fraud
Futures Commission Merchant Nations Investments, LLC and Members of Two South Florida Families Ordered to Pay $5.4 Million to Settle Undercapitalization and False Statement Charges Brought by the CFTC
CFTC Sanctions Former NYMEX Broker Ryan Tremblay $50,000 for Fraudulent Trade Practice Scheme
CFTC Sanctions Former NYMEX Employee for Disclosing Non-Public Information to NYMEX Floor Brokers
CFTC Sanctions Rosenthal Collins Group, LLC $310,000 for Failing to Enforce Compliance Procedures and Diligently Supervise Employees
Hedge Fund Trader Paul Eustace and Philadelphia Alternative Asset Management Co. Ordered to Pay More Than $279 Million to Defrauded Customers and More than $20 Million in Civil Monetary Penalties in CFTC Action
CFTC Announces Formation of Retail Foreign Currency Fraud Enforcement Task Force
Tampa Resident Edward J. Evors Ordered to Pay $904,000 in Restitution and Civil Monetary Penalties in CFTC Action