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. District Court Orders United Kingdom Corporation (E Net Speculation Ltd.) And Its Two Principals To Pay $50,000 In Civil Penalties For International Solicitation Of Off-Exchange Commodity Futures Through The World Wide Web
MIRANT AMERICAS ENERGY MARKETING, L.P. SETTLES FEDERAL CHARGES OF FALSE REPORTING AND ATTEMPTED MANIPULATION; CFTC Imposes Civil Penalty of $12.5 Million and Orders Energy Firm to Cease and Desist from Further Violations; Respondent Found to Have Knowingly Made False Reports to <i>Gas Daily</i>, <i>Inside FERC</i> and <i>Natural Gas Intelligence</i>
FEDERAL COURT ORDERS NORTH CAROLINA RESIDENT JAMES DARREN MOORE AND HIS COMPANY TO PAY OVER $1 MILLION IN RESTITUTION AND PENALTIES FOR DEFRAUDING CUSTOMERS IN A COMMODITY SCHEME
U.S. COMMODITY FUTURES TRADING COMMISSION CHARGES GREENSBORO, NORTH CAROLINA RESIDENT ROGER OWEN & HIS COMPANIES CHARGED WITH DEFRAUDING CUSTOMERS IN SALES OF A COMMODITY TRADING SYSTEM
CFTC Finds New Yorkers Eugene Todd and the Bentley Rothchild Group, Inc. Liable for Selling Illegal Foreign Currency Contracts
NEW YORK HEDGE FUND CHARGED WITH MISAPPROPRIATING MORE THAN $1.1 MILLION IN COMMODITY SCAM; CFTC Sues Remco Capital Management, Inc., Nutone Asset Management, Ltd., and Andrei Maruha, Alleging They Defrauded at Least 31 Investors
CINERGY MARKETING & TRADING, LP FOUND TO HAVE REPORTED FALSE ENERGY PRICES; Agrees to Pay a $3 Million Civil Monetary Penalty to Settle CFTC Charges
CFTC and BP Energy Company Settle Case Involving Employee's Illegal Wash Trades for $100,000
CFTC CHARGES SAN DIEGO FOREIGN CURRENCY FIRM WHITE PINE TRUST CORPORATION AND ITS FOUNDER, RICHARD MATTHEWS, WITH FRAUD AND MISAPPROPRIATION OF CUSTOMER FUNDS; Over $30 Million in Suspect Funds Uncovered in Federal Probe
HAWAIIAN RESIDENT BARRY SCHOTZ CHARGED WITH DEFRAUDING CALIFORNIA PARTICIPANTS IN $3 MILLION COMMODITY POOL SCHEME; Schotz, Previously Convicted of Fraud, Allegedly Bilked Los Angeles Investors in the Bear Invest Fund