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
California Court Orders Gilbert Philip Castillo, Jr. and Castle Enterprise Corporation to Pay More than $800,000 in Disgorgement and $480,000 in Civil Penalties for Fraud by an Unregistered Commodity Trading Advisor
Texas Federal Court Orders Payment of More Than $123 Million in Fines and Restitution in Case Filed by the U.S. Commodity Futures Trading Commission against Seattle Firm and its Affiliates Involved in Forex Swindle
U.S. Commodity Futures Trading Commission Files Anti-Fraud Action Against New York Hedge Fund Cornerstone Capital Management, LLC and its Operator, Atlanta Resident Joseph T. Profit II
U.S. Commodity Futures Trading Commission Revokes the Registration of United Investors Group Inc.
U.S. Commodity Futures Trading Commission Revokes the Registration of Risk Capital Trading Group, Inc.
Georgia Hedge Fund, Renaissance Asset Management, LLC, and its Atlanta-based Chief Operating Officer Charged in Federal Court with Commodity Pool Fraud
Florida Federal Court Judgment Concludes Multi-Million Dollar Foreign Currency (Forex) Anti-Fraud Action Brought by the U.S. Commodity Futures Trading Commission
Foreign Currency Company, UForex Consulting, its President, and Former Employee Charged in Louisiana Federal Court with Cheating Customers of More Than $2.9 Million
California Commodity Trading Firm, Acceleration Capital, Settles Charges of Fraud and Misappropriation Based on Former Agent’s Activity
U.S. Commodity Futures Trading Commission Files and Settles Charges Against Rosenthal Collins Group