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
02/12/2013	Federal Court in Texas Orders Jonathan Hansen and His Company, J. Hansen Investments, LLC, to Pay over $1.3 Million to Settle Commodity Pool Fraud Action Order: J. Hansen Investments, LLC et al.
02/11/2013	CFTC Charges South Carolina Resident Robert Stanley Harrison with Commodity Pool Fraud Complaint: Robert Stanley Harrison Order: Robert Stanley Harrison
02/08/2013	CFTC Sanctions Gelber Group, LLC $750,000 for Trading Abuses on Two Exchanges Order: Gelber Group, LLC Order: Martin A. Lorenzen Commissioner Jill E. Sommers’ Concurrence in the Matter of Gelber Group LLC and… Commissioner Bart Chilton’s Concurring in part and Dissenting in part to the Se…
02/06/2013	Federal Court in Texas Orders Rodney Wagner and Roger Wagner, and their company GID Group, Inc., to Pay Over $2.4 Million for Fraud in Foreign Currency (Forex) Ponzi Scheme Order: GID Group, Inc., et al.
02/06/2013	CFTC Orders The Royal Bank of Scotland plc and RBS Securities Japan Limited to Pay $325 Million Penalty to Settle Charges of Manipulation, Attempted Manipulation, and False Reporting of Yen and Swiss Franc LIBOR Order: The Royal Bank of Scotland plc and RBS Securities Japan Limited Statement of Chairman Gary Gensler on RBS Settlement Statement of Commissioner Bart Chilton on RBS Settlement
02/05/2013	CFTC Sues Australian Company, Halifax Investment Services, Ltd., for Unlawfully Soliciting U.S. Customers Complaint: Halifax Investment Services, Ltd.
02/04/2013	Federal Court in Florida Imposes over $22.8 Million in a Monetary Sanction and Restitution against Floridian David Merrick and His Company, Trader’s International Return Network CFTC v. Trader's International Return Network, et al
02/01/2013	Federal Court Imposes over $2.8 Million in Sanctions against Florida Resident Martin H. Bedick and His Company, Angus Jackson, Inc., for Making False Statements Order: Angus Jackson, Inc., et al.
01/28/2013	CFTC Seeks to Revoke the Registration of Robert A. Christy and the Registrations of his Company, Crabapple Capital Group LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud Notice: Crabapple Capital Group LLC, et al.
01/28/2013	CFTC Charges Four Florida-based Precious Metals Firms and Three Individuals for Engaging in Illegal Retail Off-Exchange Transactions in Precious Metals Order: Secured Precious Metals International, Inc., et al. Order: Barclay Metals, Inc., et al.

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