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
U.S. Commodity Futures Trading Commission Files Action in Florida Federal Court Against Tampa Resident Edward J. Evors Alleging Misappropriation of Customer Funds
Minnesota Federal Court Orders the Release of Frozen Assets for the Payment of Restitution to Defrauded Customers in Action Brought by the Commodity Futures Trading Commission
Illinois Federal Court Freezes Assets of Lake Shore Asset Management Limited; Court Finds that the Lake Shore Common Enterprise Committed Fraud
U.S. Commodity Futures Trading Commission Files Action Against Futures Commission Merchant Nations Investments, LLC, for Failure to Maintain the Minimum Amount of Net Capital Required by Federal Law
Florida Federal Court Sanctions Several South Florida Foreign Currency Options Boiler-Rooms, Brokerage Firms, and Ten Florida Individuals for Defrauding Customers
District of Columbia Federal Court Orders McGraw-Hill to Comply with Commodity Futures Trading Commission Subpoena and to Produce Documents of Commodity Index Provider Platts in Energy Investigation
New York Federal Court Enters Orders Granting Judgments in Four Cases against Nine Entities for International Commodity Futures and Options Scam; Defendants Ordered to Pay More than $15.5 Million in Restitution and Civil Penalties
U.S. Commodity Futures Trading Commission Charges Washington State Man and His Companies with Defrauding Customers in Retail Foreign Currency Options Scheme
Marathon Petroleum Company LLC Agrees to Pay $1,000,000 Civil Penalty to Settle U.S. Commodity Futures Trading Commission Charges of Attempted Manipulation in Crude Oil Markets
U.S. Commodity Futures Trading Commission Seeks to Revoke the Registration of New York Foreign Currency Trader Udo Rotmistrenko