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 and Settles Charges Against Rosenthal Collins Group
U.S. District Court for the District of Oregon Enters Final Order against Mastermind of Multimillion Dollar Fraudulent Foreign Currency (Forex) Scam
U.S. Commodity Futures Trading Commission Obtains Permanent Injunction against Seattle, Washington Man Charged with Solicitation Fraud for the Second Time
U.S. Commodity Futures Trading Commission Files and Settles Charges Against Illinois Resident for Indirectly Trading Against His Customer Orders at the Chicago Mercantile Exchange
New York Firm Sanctioned for Defrauding Investors in Excess of $4.4 Million Dollars in a Foreign Currency (Forex) Scam
U.S. Commodity Futures Trading Commission Charges Stephanie Ann Gallitano and Her Companies, Financial Risk International, Inc. and Financial Risk Management, Inc., with Defrauding Customers Purchasing Foreign Currency (Forex) Options
U.S. Commodity Futures Trading Commission Seeks to Revoke Registrations of Worldwide Commodity Corporation and South Coast Commodities, Inc.
CFTC Settles Foreign Currency (Forex) Fraud Action against Emerald Worldwide Holdings, Inc. and Jian Zhuang
Fifteen Defendants from “Operation Wooden Nickel” Ordered by the Court to Pay Restitution, Return Ill-Gotten Gains, and Pay Fines Totaling over $25 Million
South Florida Court Orders Three Barcelona-Based Companies to Pay Over $19 Million in Disgorgement and Civil Penalties for Foreign Currency (Forex) Options Scam