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.

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Date ENFORCEMENT ACTIONS
U.S. District Court In Colorado Issues Orders Of Permanent Injunction In CFTC Anti- Fraud Action Against Brian Prendergast Of Colorado And Joel De Angelis Of California In 1996 Prism Case
CFTC Accepts Settlement Offer in Statutory Disqualification Action Against CBOT Floor Broker Richard C. Hayes, Which Includes Revocation of Hayes' Registration
CFTC Prevails In Action to Enforce Aministrative Subpoenas Requiring Testimont And Production of Documents Related to London Financial, Inc., of Jupiter, Florida
CFTC Appeals Frankwell Bullion Ltd., Et. Al. Decision
CFTC's Division of Enforcement Establishes Virtual Open House on World Wide Web; Defendant Donald Chancey's Property to be Auctioned to Recover Funds Allegedly Embezzled in Commodities Scheme
CFTC Settles Statutory Disqualification Action Against CBOT Floor Broker Timothy J. Murphy; Conditions Murphy's Registration for a Two-Year Period
Florida District Court Judge Grants CFTC A Permanent Injunction Against JDI Limited D/B/A Future Vision, Richard A. Bandemer And Frederick W. Taft, Banning Defendants From The Futures Industry And Ordering Disgorgement, Among Other Sanctions
New York Federal Disctrict Court Dismisses Action Against CFTC Filed By AVCO Financial Corporation
CFTC Files Statutory Disqualification Action Against John P. Larocque And Simultaneously Accepts His Settlement Offer, Which Includes A Two-Year Period Of Conditioned Registration
CFTC Seeks Subpoena Enforcement To Compel Testimony And Production Of Records Related To London Financial, Inc., Of Jupiter, Florida, And Two Individuals.