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 Settles Charges against Dubai-Based Supama International DMCC for Engaging in Illegal Trades that Resulted in an Illegal Pass of Money among Accounts
CFTC Charges Argentine Trader with Defrauding More Than 400 Customers Worldwide in a $43.8 Million Investment Scheme
CFTC Obtains Verdict Against Former Coral Energy Trader Anthony Dizona for Attempted Manipulation; Jury Finds Defendant Violated the Commodity Exchange Act by Attempting to Manipulate the Natural Gas Market Eight Times
CFTC Charges Two Chicago Board of Trade Floor Brokers with Defrauding Customers Out Of More Than $2 Million
Former Employee of Pompano Beach Commodity Firm, Leslie Weiner, Settles Charges that He Defrauded Commodity Options Customers
President of a Miami Commodity Futures and Options Firm Sanctioned $260,000 for Fraud and Misappropriation of Customer Funds
CFTC Seeks to Revoke the Registration of Fort Lauderdale-based Worldwide Clearing, LLC
CFTC Forex Boiler Room Fraud Action Nets $3.4 Million in Sanctions Against “Richmond Global” and Vincent Danio; Defrauded Customers Lost More Than $1.7 Million Trading Forex
MF Global Inc. and Thomas Gilmartin to Pay More Than $77 Million to Settle Actions by CFTC and Receiver ad litem
CFTC Sues Futures Commission Merchant Forex Liquidity LLC Alleging Undercapitalization in Excess of $11.6 Million