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
CFTC Announces Fourth Whistleblower Award
CFTC Orders Atlantas Group, Inc. and Edmund Hysni to Pay in Total $7.2 Million in Restitution and a Civil Monetary Penalty for Solicitation Fraud and for Making False Statements to the National Futures Association
CFTC Orders Singapore-Based Agrocorp International Pte Ltd. to Pay $150,000 for Call Cotton Reporting Violations
CFTC Orders Golden Agri International Pte Ltd. to Pay $150,000 for Failing to Report Cash Positions
Federal Court in Illinois Orders Matthew J. Marcus and His California Company Tech Power Inc. to Pay a $250,000 Penalty for Engineering a Money Pass Scheme Involving More than 1,200 Single Stock Futures Trades
CFTC Orders London-Based Barclays Bank PLC to Pay a $560,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swaps Positions
Federal Court Orders Nearly $17.5 Million in Sanctions against Naples, Florida Resident Dorian Garcia and his Companies for Solicitation Fraud, Misappropriation, and Registration Violations in Operating a Ponzi Scheme
CFTC Charges Former CBOE Member Alvin Guy Wilkinson and his Connecticut-based Entities with Fraud, Misappropriation, Failing to Register with the CFTC, and Making Misrepresentations to the NFA
Federal Court Orders Dante S. Giovannetti and His Companies Emini Experts, LLC and Capital Trading Concepts LLC to Pay over $2.7 Million in Restitution and Monetary Penalties for Commodity Pool Fraud and Other Violations of the Commodity Exchange Act
CFTC Obtains Default Judgment Orders against Three Magee Family Members of Calgary, Alberta, Canada, for Commodity Pool Fraud