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
04/23/2015	Deutsche Bank to Pay $800 Million Penalty to Settle CFTC Charges of Manipulation, Attempted Manipulation, and False Reporting of LIBOR and Euribor Order: Deutsche Bank AG Deutsche Bank: Examples of Misconduct From Written Communications
04/21/2015	CFTC Charges Florida-Based Sentry Asset Group, LLC and its Owner, John Pakel, with Engaging in Illegal, Off-Exchange Precious Metals Transactions Complaint: Sentry Asset Group, LLC
04/21/2015	CFTC Charges U.K. Resident Navinder Singh Sarao and His Company Nav Sarao Futures Limited PLC with Price Manipulation and Spoofing Complaint: Nav Sarao Futures Limited PLC & Navinder Singh Sarao SRO Order: Nav Sarao Futures Limited PLC & Navinder Singh Sarao
04/20/2015	CFTC Charges Florida Resident Dorian A. Garcia and his Companies, DG Wealth Management, Macroquantum Capital LLC, and UKUSA Currency Fund LP with Fraud and Registration Violations Order: Dorian A. Garcia, et al. Complaint: Dorian A. Garcia, et al.
04/17/2015	CFTC Charges Matthew J. Marcus and His California Company, Tech Power, Inc., and John D. Briner and His Canadian Law Firm, MetroWest Law Corp., with a Money Pass Scheme Involving More than 1,200 Single Stock Futures Trades Complaint: Metrowest Law Corp., et al Order: Metrowest Law Corp.
04/15/2015	CFTC Orders Tennessee-based Commodity Pool Operator Hope Advisors LLC to Pay a $100,000 Civil Monetary Penalty for Registration and Reporting Violations Order: Hope Advisors LLC
04/06/2015	Federal Court Orders Texas-based RFF GP, LLC, KGW Capital Management, LLC, and Kevin G. White to Pay over $7.5 Million for Operating a Fraudulent Commodity Pool Consent Order: RFF GP, LLC, et al
04/01/2015	CFTC Charges Kraft Foods Group, Inc. and Mondelez Global LLC with Manipulation of Wheat Futures and Cash Wheat Prices Complaint: Kraft Foods Group, Inc. et al
03/31/2015	CFTC Charges Maverick International, Inc. and its Principals Wesley Allen Brown and Edward Rubin with Pool Fraud and Other Violations Complaint: Maverick International Inc., et al SRO Order: Maverick International, Inc., et al
03/30/2015	CFTC Settles Enforcement Action in District Court against Daniel Shak for Violation of a CFTC Administrative Order Consent Order: Daniel Shak

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