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
03/22/2022	Federal Court Orders Chicago-area Trader and His Company to Pay $377,000 for Forex and Commodity Fraud Consent Order: Dro Kholamian, et al.
03/22/2022	Federal Court Orders Tennessee and Kentucky Men and Their Company to Pay Over $5 Million for Commodity Futures Pool Fraud Summary Judgment Phelps Default Judgment Maverick and Castenir Report and Recommendation for Default Order Maverick and Castenir
03/18/2022	CFTC Awards Approximately $10 Million to a Whistleblower No. 22-WB-03
03/15/2022	CFTC Orders London-Based Swap Dealer to Pay $3.25 Million for Swap-Data Reporting, Conflicts of Interest, Mid-Market Mark, and Supervision Failures Order: ED&F Man Capital Markets, Ltd.
03/10/2022	CFTC Awards Approximately $500,000 to Two Whistleblowers No. 22-WB-02
03/08/2022	CFTC Charges Four Operators for $44 Million Bitcoin Ponzi and Misappropriation Schemes Complaint: Dwayne Golden, et al. Statement of Commissioner Dawn D. Stump
03/02/2022	Federal Court Orders Florida Men to Pay Over $1.6 Million for Precious Metals Fraud Consent Order: Marvin W. Courson III, et al. Consent Order: Christopher A. Kertatos, et al.
02/23/2022	CFTC Orders North Carolina Man and His Company to Pay $2.6 Million for Fraudulent Solicitation, Pool Fraud, and Failure to Register Order: Richard Neal and Golden Signals LLC
02/17/2022	CFTC Charges Hedge Fund Manager with Fraudulent Scheme to Overvalue Investment Funds by $1 Billion Complaint: James Robert Velissaris
02/07/2022	CFTC Charges Florida-Based Entities and Individuals with Multi-Million Dollar Futures and Forex Fraud Complaint: The W Trade Group LLC, et al.

Enforcement Actions

Resources

Actions

Sitemap

CFTC Headquarters