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
12/17/2018	CFTC and State of Utah Amend Their Complaint Against Rust Rare Coin and Gaylen Rust to Charge Additional Defendants for Participating in $200 Million Salt Lake City Precious Metals Ponzi Scheme Complaint: Rust Rare Coin Inc., et al
12/10/2018	Federal Court Orders Defendants to Pay More Than $11 Million in Connection with Commodity Pool Fraud Default Judgment: Allensworth Order: Scott Allensworth
12/06/2018	CFTC Wins Judgment against Commodities Trader for Commodity Pool Fraud, Including Misappropriating Funds Consent Order: Mark R. Slobodnik
11/16/2018	CFTC and State of Utah Charge Salt Lake City Precious Metals Dealer and His Company with Engaging in $170 Million Precious Metals Ponzi Scheme Complaint: Gaylen Dean Rust and Rust Rare Coin, Inc Order: Gaylen Dean Rust and Rust Rare Coin, Inc Rust Rare Coin Receivership Information
11/15/2018	CFTC Division of Enforcement Issues Report on FY 2018 Results 2018 Enforcement Annual Report Speech of Enforcement Director James M. McDonald
11/15/2018	In CFTC Action, Federal Court Orders Hedge Fund and Its Principals To Pay More Than $1 Million for Fraud and Registration Violations Consent Order: Kevin P. Whylie Default Judgment: Algointeractive Inc and Matthew James Zecchini
11/09/2018	CFTC Orders Former Virtual Currency Trader to Pay More than $1.1 Million for Fraudulent Bitcoin and Litecoin Scheme Order: Joseph Kim
11/08/2018	CFTC Charges Former Deutsche Bank Trader with Fraudulently Mismarking Swaps Order: Jacob Bourne Deutsche Bank Securities Inc. and Deutsche Bank AG Declination Letter
11/08/2018	CFTC Orders Commerzbank AG to Pay $12 Million for Swap Dealing Violations and for Misleading Statements to the CFTC Order: Commerzbank AG
10/18/2018	Federal Court Orders Trading Firm and CEO to Pay More than $2.5 Million for Fraudulent Bitcoin Ponzi Scheme Final Judgment: Gelfman Blueprint, Inc. and Nicholas Gelfman Consent Order: Gelfman Blueprint, Inc. and Nicholas Gelfman

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