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. Commodity Futures Trading Commission Charges Illinois Resident Anthony A. Demasi and His Company, Tsunami Capital, LLC, with Fraud
U.S. Commodity Futures Trading Commission Files Action in Federal Court to Compel Commodity Index Provider Platts to Produce Relevant Documents in Government Energy Investigation
U.S. Commodity Futures Trading Commission Sanctions Flushing, New York Trader for Illegal Electronic Trading
U.S. Commodity Futures Trading Commission Files Action against Five Foreign Entities and Individuals for Engaging in Illegal Transactions to Pass Money among Trading Accounts
U.S. Commodity Futures Trading Commission Charges South Carolinian Albert E. Parish, Jr. and His Company, Parish Economics, LLC in Multi-Million Dollar Commodity Pool Fraud
U.S. Commodity Futures Trading Commission Files Fraud Action against Florida Foreign Currency Firm, Its Owner, and Futures Commission Merchant
Nine Defendants from “Operation Wooden Nickel” Ordered to Pay Restitution, Return Ill-Gotten Gains, and Pay Fines Totaling More Than $14,000,000
New York Federal Court Judgment Concludes Multi-Million Dollar Foreign Currency (Forex) Fraud Action Brought by the U.S. Commodity Futures Trading Commission
U.S. Commodity Futures Trading Commission Revokes the Registration of Florida Corporation Worldwide Commodity Corporation and its Successor, South Coast Commodities, Inc.
Government Obtains Judgment against Two New York Investment Firms