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
10/06/2006	Federal Court Imposes More than $14.7 Million in Sanctions on Two Florida Corporations and Five South Florida Men in Commodity Options Fraud Case Consent Order: Worldwide Commodity Corporation, et al. CFTC Press Release 4971-04
10/05/2006	CFTC Settles Commodity Pool Fraud Charges with Florida Resident Eddie Holman Jr. Order: Eddie Holman, Jr. d/b/a C-THRU, Inc.
10/05/2006	CFTC Charges Utah Resident William D. Perkins with $3.4 Million Hedge Fund Fraud Complaint: William D. Perkins
10/04/2006	CFTC Obtains Federal Court Order Freezing Assets of Muskegon Heights, Michigan Man Charged with Defrauding Managed Account Clients Complaint: Steven G. Schroeder Statutory Restraining Order: Steven G. Schroeder
10/04/2006	CFTC Files and Settles Charges Against Florida Resident and His Company for Violating Exchange Trading Limits at the New York Board of Trade
10/04/2006	South Florida Court Orders Boca Raton Residents to Disgorge Ill-Gotten Gains from Foreign Currency Options Fraud Order: Jeffery Jedlicki Order: Tirtza Jedlicki CFTC Charges Florida Residents Doreen R. Valko and Frank Desantis And Their Com…
10/02/2006	CFTC Settles Natural Gas Attempted Manipulation Lawsuit with Joseph P. Foley, a Former American Electric Power Company, Inc. Trader Order: Joseph P. Foley CFTC Press Release 5114-05 CFTC Press Release 5041-05
09/27/2006	Virginia Federal Court Enters Judgment against Foreign Currency (Forex) Firm and Two Individuals in a Fraud Action Brought by the CFTC Order: Presidential FX, Inc, Adam Leon, and Joseph Marchiano Report and Recommendations: Presidential FX, Inc, Adam Leon, and Joseph Marchia… CFTC Press Release 5102-05
09/27/2006	Dominion Resources, Inc. Agrees to Pay a $4.25 Million Civil Penalty to Settle CFTC Charges of False Reporting Order: Dominion Resources, Inc.
09/26/2006	CFTC Seeks to Revoke Registration of United Investors Group, Inc., of Boca Raton, Florida Notice of Intent: United Investors Group, Inc. South Florida Court Imposes Over $25 Million in Sanctions in Energy and Foreign… CFTC Press Release 5037-05

Enforcement Actions

Resources

Actions

Sitemap

CFTC Headquarters