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
11/09/2011	CFTC Charges GID Group, Inc., Rodney and Roger Wagner with Fraud and Misappropriation in Connection with a $5.5 Million Forex Ponzi Scheme Order: GID Group, Inc. Complaint: GID Group, Inc.
11/09/2011	CFTC Orders South Florida Resident Alan A. Grant and his Company, Francis Grant Investments Inc., to Pay $500,000 in Forex Fraud Charges Order: Francis Grant Investments Inc.
11/09/2011	CFTC Charges Denver Man Nicholas Trimble and His Two Companies with Solicitation Fraud and Misappropriating Customer Funds in Million Dollar Foreign Currency Scheme Asset Freeze Order: Capstone Quantitative Analysis, Inc. Complaint: Capstone Quantitative Analysis, Inc.
11/09/2011	CFTC Sanctions Velocity Futures, LLC, for Supervision Violations Order: Velocity Futures, LLC
11/04/2011	Court Orders Jeffery A. Lowrance and His Company to Pay More than $4.5 Million for Operating Foreign Currency Ponzi Scheme Order: First Capital Savings and Loan, et al.
11/04/2011	CFTC Obtains Orders against Patrick Rakotonanahary and his Company, Cyber Market Group LLC, for Defrauding Customers in a Multi-Million Dollar Foreign Currency Ponzi Scheme Consent Order: Patrick Rakotonanahary Findings and Recommendation: Cyber Market Group, LLC Order Adopting Findings: Cyber Market Group, LLC
11/01/2011	Federal Court Orders Charlotte, NC, Couple and Their Companies to Pay $24 Million for Defrauding Customers in Foreign Currency Ponzi Scheme Order: Queen Shoals, LLC et al.
10/27/2011	North Carolina Federal Court Orders Rodney W. Whitney, Nicholas T. Cox, and Integra Capital Management, LLC, to Pay Over $6.9 Million for Ponzi Scheme Order: Integra Capital Management LLC, et al. Default: Integra Capital Management LLC, et al.
10/26/2011	CFTC Seeks to Revoke or Suspend the Registration of Raleigh Capital Management, Inc. Notice: Raleigh Capital Management, Inc.
10/26/2011	CFTC Files Anti-Fraud Action against Idahoan Michael Justin Hoopes for Operating a Multi-Million Dollar Ponzi Scheme that Defrauded Mostly Idaho Residents Complaint: Michael Justin Hoopes Order: Michael Justin Hoopes

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