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
New Jersey Federal Court Orders More Than $8 Million in Sanctions Against Robert W. Shimer, Vincent J. Firth, and Equity Financial Group LLC in CFTC Anti-Fraud Action
Tennessee Federal Court Orders Christian Kis of Hendersonville, Tennessee to Pay More Than $900,000 in Penalties in Hedge Fund Fraud Action
Illinois Resident Edward R. Velazquez and His Three “V-Tek” Companies Sanctioned Over $11.6 Million in Settlement of CFTC Commodity Fraud Action
CFTC Sanctions Virginia Commodity Pool Operator $739,000 to Settle Fraud and Misappropriation Charges
CFTC Files Action to Revoke Registrations of Introducing Brokers Liberty Financial Trading Corp., Inc. and Liberty Real Assets Investment Corporation
CFTC Settles Charges against Dubai-Based Supama International DMCC for Engaging in Illegal Trades that Resulted in an Illegal Pass of Money among Accounts
CFTC Charges Argentine Trader with Defrauding More Than 400 Customers Worldwide in a $43.8 Million Investment Scheme
CFTC Obtains Verdict Against Former Coral Energy Trader Anthony Dizona for Attempted Manipulation; Jury Finds Defendant Violated the Commodity Exchange Act by Attempting to Manipulate the Natural Gas Market Eight Times
CFTC Charges Two Chicago Board of Trade Floor Brokers with Defrauding Customers Out Of More Than $2 Million
Former Employee of Pompano Beach Commodity Firm, Leslie Weiner, Settles Charges that He Defrauded Commodity Options Customers