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
10/26/2006	U.S. District Court for the Middle District of Florida Permanently Prohibits Defendant in CFTC Anti-Fraud Action from Commodity Futures and Options Trading Order of Permanent Injunction: Leiza Fitzgerald U.S. Court of Appeals for the Eleventh Circuit (11th Cir. 2002) - Findings CFTC Press Release 4285-99
10/18/2006	CFTC Obtains Permanent Injunction Against Muskegon Heights, Michigan Man Charged with Defrauding Managed Account Clients Consent Order of Permanent Injunction: Steven G. Schroeder
10/12/2006	CFTC Obtains Federal Court Order Freezing Assets of Tennessee Resident Charged with Fraud in Connection with Operating a Commodity Pool Statutory Restraining Order: Christian Kis Complaint: Christian Kis
10/12/2006	U.S. Commodity Futures Trading Commission Charges Virginia Man and California Corporation with Fraud Complaint: Michael Hayes a/k/a Frank Richards
10/10/2006	CFTC Seeks to Revoke the Registration of Wilshire Investment Management Corporation Notice of Intent: Wilshire Investment Management Corporation Federal Court Finds Florida Corporation Wilshire Investment Management Corporat…
10/10/2006	CFTC Seeks to Revoke the Registration of Hedge Fund Operator Bayou Management LLC Notice of Intent: Bayou Management LLC CFTC Press Release 5121-05
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 Files and Settles Charges Against Florida Resident and His Company for Violating Exchange Trading Limits at the New York Board of Trade

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