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
05/01/2006	CFTC to Participate in Annual Money Smart Week In Chicago Chicago Fed Money Smart Week Website
04/27/2006	U.S. District Court Freezes Assets of South Florida Foreign Currency Firm First International Group, Inc. Based on Fraud Charges by CFTC Complaint: First International Group, Inc., Michael Mesa, and Tom Keesee Asset Freeze Order: First International Group, Inc., Michael Mesa, and Tom Kees…
04/20/2006	U.S. Attorney Indicts North Carolina Couple Howell and Vernice Woltz for Obstructing Civil Litigation Brought by CFTC Bill of Indictment: Howell Woltz and Vernice Woltz Asset Freeze Order: First International Group, Inc., Michael Mesa, and Tom Kees… CFTC Press Release 4908-04
04/11/2006	Mesa, Arizona Foreign Currency Trader Ronald Stephen Holt Settles Fraud Charges with CFTC for Nearly $32 Million Permanent Injunction Order: International Funding Association, et al.
03/31/2006	Fraudulent Commodity Brokers Charles Hoffecker and Charles Myers Convicted in Commodity Scheme U.S. Attorney Press Release: Two Masterminds of $13 Million International Fraud…
03/20/2006	CFTC Charges Las Vegas, Nevada, Resident Richard McCall With Fraud, Alleging that McCall, Doing Business As The Mastery Group International, Fraudulently Solicited Clients for Futures Trading Workshops on the Internet Complaint: Richard McCall d/b/a The Mastery Group International Preliminary Injunction Order: Richard McCall d/b/a The Mastery Group Internatio…
03/17/2006	CFTC Charges Mason, Michigan, Couple Ty and Monette Klotz and Their Aurifex Investment Companies With Hedge Fund Fraud Complaint: Aurifex Commodity Research Company, Aurifex Research LLC, Ty Klotz a… Ex Parte Statutory Restraining Order: Aurifex Commodity Research Company, Aurif…
03/15/2006	CFTC Charges New York Firm Falco & Stevens, Inc. and its President Vyacheslav Nass with Stealing Millions in Foreign Currency Scam Complaint: Falco & Stevens Inc. and Vyacheslav Nass Order: Falco & Stevens, Inc. and Vyacheslav Nass
02/10/2006	Los Angeles Federal Court Orders California Company and Two of its Principals to Pay $4.2 Million to Defrauded Commodity Option Customers Order: Chase Commodities Corporation, Lee LaGorio, Excel Obando, and Universal …
02/07/2006	CFTC Charges Florida Man And His Firm With Stealing $1.5 Million From Customers Complaint: Lazaro Jose Rodriguez Asset Freeze Order: Lazaro Jose Rodriguez

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