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
District of Columbia Federal Court Orders McGraw-Hill to Comply with Commodity Futures Trading Commission Subpoena and to Produce Documents of Commodity Index Provider Platts in Energy Investigation
New York Federal Court Enters Orders Granting Judgments in Four Cases against Nine Entities for International Commodity Futures and Options Scam; Defendants Ordered to Pay More than $15.5 Million in Restitution and Civil Penalties
U.S. Commodity Futures Trading Commission Charges Washington State Man and His Companies with Defrauding Customers in Retail Foreign Currency Options Scheme
Marathon Petroleum Company LLC Agrees to Pay $1,000,000 Civil Penalty to Settle U.S. Commodity Futures Trading Commission Charges of Attempted Manipulation in Crude Oil Markets
U.S. Commodity Futures Trading Commission Seeks to Revoke the Registration of New York Foreign Currency Trader Udo Rotmistrenko
U.S. Commodity Futures Trading Commission Sanctions Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC for Repeated Failure to File Annual Reports on Time for Many of the Commodity Pools they Operate
U.S. Commodity Futures Trading Commission Seeks to Revoke the Registration of Fort Lauderdale-based Commodity Investment Group, Inc.
U.S. District Court Appoints Fund Administrator to Disburse Restitution in the CFTC’s Forex Anti-Fraud Action Against Emerald Worldwide Holdings, Inc.
U.S. Commodity Futures Trading Commission Alleges that Energy Transfer Partners, L.P. and Three of Its Subsidiaries Used the IntercontinentalExchange in Attempted Manipulation of Natural Gas Market
U.S. Commodity Futures Trading Commission Charges Hedge Fund Amaranth and its Former Head Energy Trader, Brian Hunter, with Attempted Manipulation of the Price of Natural Gas Futures