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
09/27/2012	CFTC Orders JP Morgan Chase Bank, N.A. to Pay $600,000 Civil Monetary Penalty for Violating Cotton Futures Speculative Position Limits Order: JP Morgan Chase Bank, N.A.
09/27/2012	Florida Federal Court Orders Claudio Aliaga and His Company, CMA Capital Management, LLC, to Pay $5.5 Million in Penalties and Restitution for Operating a Forex Ponzi Scheme Order: Claudio Aliaga, et al.
09/27/2012	CFTC Charges iFinix Futures, Inc. and Its Senior Executive Officer, Connecticut Resident Benhope Marlon Munroe, with Making False Statements to the National Futures Association and Failing to Meet Minimum Financial Requirements Complaint: iFinix Futures, Inc., et al.
09/25/2012	CFTC Charges Wisconsin Resident Eric N. Schmickle and His Company, Q Wealth Management Inc., with Operating a $5.3 Million Commodity Futures Fraud Complaint: Q Wealth Management Inc., et al.
09/25/2012	CFTC Orders China-based Weidong Ge and Sheenson Investments, Ltd. to Pay $1.5 Million in Monetary Sanctions for Violating Speculative Position Limits in Cotton And Soybean Futures Order: Weidong Ge and Sheenson Investments Ltd.
09/25/2012	CFTC Seeks to Revoke Registrations of Victor E. Cilli and his Company Progressive Investment Funds, LLC Notice: Victor E. Cilli, et al.
09/25/2012	CFTC Seeks to Revoke Registrations of Nevada Resident Gordon A. Driver and his Company, Axcess Fund Management LLC Notice: Gordon A. Driver, et al.
09/21/2012	CFTC Sanctions York Business Associates LLC d/b/a TransAct Futures, a Registered Futures Commission Merchant, $199,000 for Supervision Failures in Handling a Customer Account Order: York Business Associates LLC
09/21/2012	CFTC Obtains Default Judgment and Permanent Injunction Order against ProfitStars Intl, Corp. and Ulysis Starling for Engaging in a Business that Operated as a Deceit and Violating a Regulatory Disclosure Requirement Order: Profitstars Intl, Corp, et al.
09/21/2012	CFTC Orders Infinity Futures LLC, an Introducing Broker, to Pay $340,000 for Supervision Violations Order: Infinity Futures LLC

Enforcement Actions

Resources

Actions

Sitemap

CFTC Headquarters