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
04/17/2015	CFTC Charges Matthew J. Marcus and His California Company, Tech Power, Inc., and John D. Briner and His Canadian Law Firm, MetroWest Law Corp., with a Money Pass Scheme Involving More than 1,200 Single Stock Futures Trades Complaint: Metrowest Law Corp., et al Order: Metrowest Law Corp.
04/15/2015	CFTC Orders Tennessee-based Commodity Pool Operator Hope Advisors LLC to Pay a $100,000 Civil Monetary Penalty for Registration and Reporting Violations Order: Hope Advisors LLC
04/06/2015	Federal Court Orders Texas-based RFF GP, LLC, KGW Capital Management, LLC, and Kevin G. White to Pay over $7.5 Million for Operating a Fraudulent Commodity Pool Consent Order: RFF GP, LLC, et al
04/01/2015	CFTC Charges Kraft Foods Group, Inc. and Mondelez Global LLC with Manipulation of Wheat Futures and Cash Wheat Prices Complaint: Kraft Foods Group, Inc. et al
03/31/2015	CFTC Charges Maverick International, Inc. and its Principals Wesley Allen Brown and Edward Rubin with Pool Fraud and Other Violations Complaint: Maverick International Inc., et al SRO Order: Maverick International, Inc., et al
03/30/2015	CFTC Settles Enforcement Action in District Court against Daniel Shak for Violation of a CFTC Administrative Order Consent Order: Daniel Shak
03/27/2015	Federal Court in South Carolina Imposes Lifetime Ban from Commodities Industry on Robert Stanley Harrison Order: Robert Stanley Harrison
03/25/2015	CFTC Revokes Registrations of John G. Wilkins and His Company, Altamont Global Partners LLC, Based on Federal Court’s Permanent Injunction Order and on Wilkins’s Related Criminal Conviction
03/23/2015	CFTC Orders Marubeni America Corporation to Pay $800,000 for Inaccurately Reporting Positions in Multiple Grains Order: Marubeni America Corporation
03/16/2015	CFTC Orders ICE Futures U.S., Inc. to Pay a $3 Million Civil Monetary Penalty for Recurring Data Reporting Violations Order: ICE Futures, U.S., Inc.

Enforcement Actions

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