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
10/29/2013	Federal Court Orders Louis J. Giddens, Jr., Anthony W. Dutton, and Michael Gomez to Pay Combined Restitution and Penalties of over $400,000 for Foreign Exchange Currency Scheme Consent Order: Louis J. Giddens, Jr., et al
10/29/2013	Rabobank to Pay $475 Million Penalty to Settle Manipulation and False Reporting Charges Related to LIBOR and Euribor Order: Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A. Examples of Misconduct From Written Communications Statement of Chairman Gary Gensler on Settlement Order against Rabobank
10/24/2013	CFTC Releases Enforcement Division’s Annual Results
10/16/2013	CFTC Files and Settles Charges Against JPMorgan Chase Bank, N.A., for Violating Prohibition on Manipulative Conduct In Connection with “London Whale” Swaps Trades Order: JPMorgan Chase Bank, N.A. Concurrence of Commissioner Bart Chilton in the Matter of JPMorgan Chase, N.A. … Statement of Commissioner Scott D. O'Malia Regarding JPMorgan's Use of Manipula… CFTC Rule 180.1 Summary Fact Sheet CFTC Rule 180.1
09/30/2013	CFTC Charges Lions Wealth Holdings, Inc., Lions Wealth Services, Inc., 20/20 Precious Metals, Inc. and Bharat Adatia in Multi-Million Dollar Fraudulent Precious Metals Scheme Complaint: Lions Wealth Holdings, Inc., et al
09/30/2013	CFTC Orders ADM Investor Services, Inc. to Pay a $425,000 Penalty for Unlawfully Commingling Customer Funds with Funds in Non-Customer Accounts Order: ADM Investor Services, Inc.
09/30/2013	FXDirectDealer, LLC Ordered to Pay $275,000 Penalty to Settle CFTC Charges of Violating Minimum Financial Requirement Rules Order: FXDirectDealer, LLC
09/30/2013	CFTC Charges Registered COMEX Floor Broker Dominick Anthony Cognata with Failing to Produce Required Documents in Response to a CFTC Subpoena and Seeks to Revoke His Registration Complaint: Dominick Anthony Cognata Notice of Intent: Dominick Anthony Cognata
09/30/2013	CFTC Charges TOTE Fund LLC, MJS Capital Management LLC and their Principal, Michael J. Siegel with Commodity Pool Fraud Complaint: Michael J. Siegel, Tote Fund, LLC and et al
09/27/2013	CFTC Charges Ethanol Trader John Aaron Brooks with Fraud for Scheming to Conceal Trading Losses Complaint: John Aaron Brooks

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