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
10/05/2010	CFTC Files Action to Revoke the Registrations of Cornerstone Capital Management, Inc. Order: Cornerstone Capital Management, Inc.
10/04/2010	CFTC Charges Accounting Firms McGladrey & Pullen, LLP and Altschuler, Melvoin & Glasser LLP, and Partner G. Victor Johnson II with Failure to Audit Properly Sentinel Management Group, Inc. Order: McGladrey & Pullen, LLP, et al. CFTC Press Release 5000-04 CFTC Sues Sentinel Management Group, Inc. and Two of Its Executive Officers for…
10/04/2010	CFTC Sanctions Rosenthal Collins Group, L.L.C. More than $1.3 Million for Supervision Violations Order: Rosenthal Collins Group, L.L.C. Federal Court Order Freezes Assets of Texas Resident George D. Hudgins in CFTC …
10/04/2010	CFTC Sanctions Triland USA Inc. $725,000 for Failing to Maintain Secured Customer Funds and Failing to Provide Timely Notice to the CFTC of the Deficiency Order: Triland USA Inc.
09/30/2010	CFTC Charges Texas-based Company and its Principals with Issuing False Account Statements in Foreign Currency Anti-Fraud Action Complaint: CFTC v. Total Call Group, Inc., et al.
09/30/2010	CFTC Imposes Permanent Trading Ban on Kevin McCormick for Submitting Trading Cards with Fictitious Commodity Futures Trades Order: Kevin M. McCormick
09/30/2010	CFTC Charges Rodney W. Whitney, Nicholas T. Cox and Their Trading Firm, Integra Capital Management LLC, with Operating a $3 Million Ponzi Scheme Complaint: CFTC v. Integra Capital Management, LLC, et al. Order: CFTC v. Integra Capital Management, LLC, et al.
09/30/2010	CFTC Sanctions Alaron Trading Corporation $260,000 for Supervisory Failures Order: Alaron Trading Corporation
09/28/2010	CFTC Charges People’s Alternative, Inc. and its Principals with Commodity Pool Fraud and Misappropriation Complaint: CFTC v. Peoples Alternative, Inc., et al. Order: CFTC v. Peoples Alternative, Inc., et al.
09/23/2010	Federal Court Freezes Assets of Mark Alan Vanderploeg and His Companies, Midwest Land & Livestock, Inc., SKV Farms Inc. and DCV Farms, Inc. Complaint: CFTC v. Mark Vanderploeg, et al. Order: CFTC v. Mark Vanderploeg, et al.

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