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
10/08/2009	CFTC Suspends the Registration of Criminally Indicted Chicago Floor Broker David G. Sklena Order: David G. Sklena CFTC Charges Two Chicago Board of Trade Floor Brokers with Defrauding Customers… CFTC Issues a Notice to Suspend or Modify the Registration of Indicted Floor Br…
10/01/2009	CFTC Sanctions Citigroup Private Bank GP, Inc. for Failure to File Annual Reports on Time for the Commodity Pools it Operates Order: CFTC v. Citigroup Private Bank GP, Inc.
09/30/2009	Chicago-Based Cadent Financial Services LLC Sanctioned for Failing to Diligently Supervise Employees Order: Cadent Financial Services, LLC
09/30/2009	Federal Court Freezes Assets of Texas Trading Firms M25 Investments, Inc. and M37 Investments, LLC, and Scott Kear, Sr., Jeffrey Lyon and David Seaman, Charged by the CFTC with an $8 Million Forex Fraud Complaint: M25 Investments, Inc., et al Order: CFTC v. M25 Investments, Inc., M37 Investments, LLC et al
09/23/2009	Federal Court Issues Preliminary Injunction Against Florida Resident Beau Diamond and His Company, Diamond Ventures LLC, in CFTC Multi-Million Dollar Forex Fraud Action Order: CFTC v. Beau Diamond, et al Federal Court Freezes the Assets of Florida Resident Beau Diamond and Diamond V…
09/23/2009	U.S. District Court Issues Orders Against Four “Operation Wooden Nickel” Defendants for their Roles in Defrauding Investors and Banks in Illegal Foreign Currency Schemes Order: CFTC v. Vito Napoletano Order: CFTC v. Boris Shuster Order: CFTC v. Patrick Sweeney Order: CFTC v. Joseph Torre, et al. CFTC Press Release 4867-03 Fifteen Defendants from “Operation Wooden Nickel” Ordered by the Court to Pay … Nine Defendants from “Operation Wooden Nickel” Ordered to Pay Restitution, Retu… U.S. District Court Orders Two New York Residents and a New York Firm to Pay Mo… U.S. District Court Orders Five Individuals and Firms to Pay More than $23 Mill…
09/09/2009	CFTC Sanctions J.P. Morgan Futures, Inc. $300,000 for Failing to Properly Segregate Customer Funds and Failing to Timely Report the Under-segregation to the CFTC Order: JP Morgan Futures Inc.
09/09/2009	CFTC Charges North Carolina Foreign Currency Firm CapitalStreet Financial LLC and its Principal Sean F. Mescall with Operating a $1.3 Million Forex Ponzi Scam Complaint: CFTC v. Capitalstreet Financial, LLC, et al. Order: CFTC v. Capitalstreet Financial, LLC, et al.
09/04/2009	CFTC Charges Illinois Resident and One of His Companies with Fraud in $6 Million Commodity Pool Complaint: Scott M. Ross, et al.
09/04/2009	Federal Court Freezes the Assets of Florida Resident Beau Diamond and Diamond Ventures LLC, Charged by the CFTC with Operating a $37 Million Dollar Forex Fraud Complaint: CFTC v. Beau Diamond, et al. Order: CFTC v. Beau Diamond, et al.

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