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
WILLIAMS COMPANIES AND WILLIAMS ENERGY MARKETING AND TRADING PAY $20 MILLION TO SETTLE COMMODITY FUTURES TRADING COMMISSION CHARGES OF ATTEMPTED MANIPULATION AND FALSE REPORTING; Energy Company and Its Subsidiary Settle Claims Under the Commodity Exchange Act That They Intentionally Reported False Natural Gas Price and Volume Information to Energy Reporting Firms in an Attempt to Affect Prices of Natural Gas
ENCANA TRADING UNIT PAYS $20 MILLION TO SETTLE COMMODITY FUTURES TRADING COMMISSION CHARGES OF ATTEMPTED MANIPULATION AND FALSE REPORTING; WE Energy Services, Inc. (Formerly Known As Encana Energy Services, Inc.) Settles CFTC Claims That It Intentionally Reported False Natural Gas Trade Information To Energy Reporting Firms In An Attempt To Manipulate The Price Of Natural Gas Contracts
FEDERAL COURT ORDERS CALIFORNIA MAN TO REPAY CUSTOMERS IN COMMODITY FUTURES TRADING COMMISSION FRAUD ACTION ; Mark Ross Weinberg Also Ordered to Pay $1.26 Million Civil Penalty
CFTC SETTLES FRAUD CHARGES WITH CALIFORNIA RESIDENT MICHAEL INGWERSON
FEDERAL COURT ORDERS NEW YORK FOREIGN CURRENCY FIRM TO PAY OVER $100 MILLION IN U.S. COMMODITY FUTURES TRADING COMMISSION ANTI-FRAUD ACTION; International Financial Services (New York) Inc. Ordered to Pay Civil Penalties and Repay Customers
GEORGIA FEDERAL COURT ORDERS INFINITE TRADING GROUP, LLC DEFENDANTS TO REPAY DEFRAUDED INVESTORS NEARLY $220,000 IN U.S. COMMODITY FUTURES TRADING COMMISSION ENFORCEMENT ACTION; Shawn Christie and Edward Lindsey Also Required to Pay $480,000 In Civil Penalties
CALIFORNIA COURT SANCTIONS FOREIGN CURRENCY (FOREX) FIRM ACRO INFORMATION SERVICE, INC. AND ITS EMPLOYEES FOR FRAUD AND ILLEGAL COMMODITY FUTURES TRADING
THE U.S. COMMODITY FUTURES TRADING COMMISSION PREVAILS AGAINST FLORIDA RESIDENTS AND THEIR THREE COMPANIES; Court Orders Defendants Bernard Sevilla, Staci Petok, Jack Pomeroy, First Bristol Group, Inc., Alliance Equity Group, Inc., and Great Minster Group, Inc., to Repay More Than $450,000 to Investors and to Pay Contingent Civil Penalties Totaling $1,920,000 for Fraud Claims
CFTC FILES FRAUD CHARGES AGAINST A NORTH CAROLINA FOREIGN CURRENCY TRADER AND HIS FIRM, WHO SOLICITED $1.2 MILLION FROM RETAIL INVESTORS; CFTC Alleges that Defendants James Darren Moore and JDM Investments Concealed Trading Losses of Almost $500,000 by Issuing False Account Statements to Customers
THE U.S. COMMODITY FUTURES TRADING COMMISSION CHARGES COLORADO MAN AND HIS FIRM, Qi2 TECHNOLOGIES, WITH INTERNET FRAUD; Company Website Marketed to the Public a Trading Manual Entitled, How I Double My Money Annually In The Market