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
09/12/2016	Federal Court in North Carolina Orders James A. Shepherd and His Company, James A. Shepherd Inc., to Pay More than $15 Million in a Monetary Penalty and Restitution for Commodity Pool Fraud Final Judgment and Consent Order: James A. Shepherd and James A. Shepherd, Inc.
09/07/2016	CFTC Charges Fan Wang with Making False Reports in Connection with Commodity Futures Transactions Complaint: Fan Wang a.k.a. Alex Wang
09/01/2016	Federal Court in Nevada Orders My Global Leverage, LLC and Toney Blondo Eggleston to Pay More than $1.4 Million in Restitution and a Monetary Penalty for Engaging in Illegal, Off-Exchange Precious Metals Transactions Order: My Global Leverage, LLC and Toney Blondo Eggleston
09/01/2016	CFTC Wins Fraud Trial against Florida-Based Precious Metals Traders Robert Escobio, Southern Trust Metals, and Loreley Overseas Corporation Findings of Fact and Conclusions of Law: Southern Trust Metals, Inc., Loreley O… Final Judgment: Southern Trust Metals, Inc., Loreley Overseas Corporation, and … Order Granting Partial Summary Judgment: Southern Trust Metals, Inc., Loreley O…
08/31/2016	CFTC Seeks Public Comment on Proposed Whistleblower Rule Amendments 81 FR 59551
08/22/2016	CFTC Orders California Resident Irina Feldman and her Companies Cindium Inc. and Einstein Exchange Group Inc. to Pay More than $600,000 for Solicitation Fraud and Misappropriation in Commodity Pool Scheme Order: Einstein Exchange Group Inc. et al
08/18/2016	CFTC Charges Forex Capital Markets, LLC with Undercapitalization, Failing to Timely Report Undercapitalization Violation, and Guaranteeing against Customer Losses Complaint: Forex Capital Markets, LLC
08/18/2016	CFTC Charges Deutsche Bank AG with Multiple Swap Reporting Violations, Related Supervision Failures, and Violation of a Prior CFTC Order Complaint: Deutsche Bank AG
08/17/2016	CFTC Charges Mirko “Mick” Schacke and his Nevada-based Company TradeMasters USA, LLC with Fraud and Failing to Register with the CFTC Complaint: TradeMasters USA., LLC and Mirko Schacke Statutory Restraining Order: TradeMasters USA, LLC and Mirko Schacke
08/16/2016	CFTC Restricts Registration of Steven A. Cohen Based on Failure to Supervise Notice of Intent: Steven A. Cohen Opinion and Order: Steven A. Cohen

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