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
07/19/2011	Ecoval Dairy Trade, Inc. Ordered to Pay $1,425,000 Penalty to Settle CFTC Charges of Attempted Manipulation of Non Fat Dry Milk Futures Prices Order: Ecoval Dairy Trade, Inc.
07/15/2011	CFTC Charges Jeffery A. Lowrance and His Company, First Capital Savings and Loan, with Operating a Million Dollar Foreign Currency Ponzi Scheme Complaint: Jeffery Alan Lowrance,et al.
07/13/2011	Federal Court in Illinois Orders Joseph A. Dawson to Pay $2.1 Million Penalty for Commodity Pool Fraud and Misappropriation Order: Joseph A. Dawson, et al. Order: Joseph A. Dawson, et al. Order: Joseph A. Dawson, et al. CFTC Charges Illinois Resident Joseph A. Dawson and His Company, Dawson Trading…
07/13/2011	CFTC Charges Robert S. Moss of North Carolina with Commodity Pool Fraud and Misappropriation Order: Robert S. Moss
07/12/2011	CFTC Obtains Default Judgment and Permanent Injunction against Florida Resident David L. Ortiz and His Companies for Defrauding Customers in Off-Exchange Foreign Currency Scam Order: Goyep International, Inc., et al. CFTC Charges Florida Resident David L. Ortiz and his Companies, Goyep Internati…
07/08/2011	CFTC Charges CIS Commodities LLC and Allen N. Ward with Misappropriation of Customer Funds and also Charges CIS, Ward, Trans Global Investments, LLC and Charles Leroy Timberlake with Misrepresentation and Issuing False Statements Complaint: CIS Commodities LLC, et al. Order: CIS Commodities LLC, et al.
07/07/2011	Texas Federal Court Issues Order Freezing Assets of Mark Rice and His Houston Company, Financial Robotics Complaint: Financial Robotics, Inc., et al. Order: Financial Robotics, Inc., et al.
06/30/2011	CFTC Charges Two Air Traffic Controllers and Commodity Trader Michael Gomez with Fraud and Misappropriation in $1.4 Million Dollar Off-Exchange Foreign Currency Scheme Complaint: Louis J. Giddens, Jr., et al. Order: Louis J. Giddens, Jr., et al.
06/30/2011	CFTC Charges Grand Island, Nebraska Resident with Fraud and Records Violations in Connection with $4 Million Commodity Pool Complaint: Grace Elizabeth Reisinger, et al.
06/30/2011	CFTC Charges Colorado-based Flint-McClung Capital LLC and Shawon McClung with Fraud and Misappropriation in $1.9 Million Off-Exchange Foreign Currency Ponzi Scheme Complaint: Flint-McClung Capital LLC, et al.

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