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 Seeks to Revoke the Registration of Next Financial Services Unlimited, Inc. and New World Trading, LLC.
New Jersey Court Order Imposes More Than $30 Million in Sanctions against Coyt E. Murray, Tech Traders, Inc., Tech Traders, Ltd., Magnum Investments, Ltd., and Magnum Capital Investments, Ltd. in Anti-Fraud Action Brought by the CFTC
U.S. Commodity Futures Trading Commission Congratulates the President's Corporate Fraud Task Force on its Fifth Anniversary
Interactive Brokers LLC Sanctioned for Failing to Supervise Its Compliance Staff
Federal Court Extends CFTC Asset Freeze over Hedge Fund Lake Shore Asset Management Limited
U.S. District Court Orders Telephone Clerk of a NYMEX Floor Brokerage Operation to Pay More Than $3.6 Million for Defrauding his Employer
CFTC Files Contempt of Court Motion Against Hedge Fund Lake Shore Asset Management Limited
Lake Shore Asset Management Limited, a Registered Commodity Pool Operator and Commodity Trading Advisor, Charged with Refusing to Make Its Books and Records Available to CFTC for Inspection
CFTC Settles Natural Gas False Reporting and Attempted Manipulation Lawsuit with Former CMS Field Services Natural Gas Trader Jeffrey Bradley and Supply Director Robert Martin
South Carolina Federal District Court Issues Consent Order of Preliminary Injunction against Albert E. Parish, Jr. and His Company Parish Economics, LLC