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
CFTC Adds Robert C. Rossi as Respondent in Enforcement Action
CFTC Files Disqualification Actions Against Frank Barbarino and Frank D’Amato, Floor Brokers at the New York Mercantile Exchange
Florida District Court Orders Over $7.96 Million in Disgorgement from Marc Stephen Wuensch for Commodity Options Fraud
CFTC Files Disqualification Action Against Michael H. Varner, a Floor Broker at The New York Board of Trade
CFTC Finds That Anthony Myskowski, a Floor Broker at the Coffee Sugar COCOA Exchange, is Subject to Statutory Disqualification And Issues Order on Consent Restricting Myskowski's Registration
CFTC Files Administrative Complaint Against Farmers Cooperative Company And Three Employees Charging Violations Of The Commodity Exchange Act And Regulations
CFTC Finds That The Andersons, Inc. Of   Maumee, Ohio, Offered To Enter And Entered Into Illegal Futures And Option Contracts; CFTC Order Accepting Settlement Offer Finds Convertible HTA Contracts and Option Features Contracts Violated the Commodity Exchange Act, 
Oklahoma District Court Orders $3.4 Million Restitution Payment and Bars Former Tulsa Resident, Richard Conroy Bell, From the Commodity Futures Industry for Commodity Pool Scheme
New York Court Orders Defendants to pay over $7.1 Million in Civil Penalties, and Orders Restitution in Excess of $2.3 Million to Customers in CFTC Action Involving Illegal Foreign Currency Futures Fraud
CFTC Files Complaint Charging New York Currency Research Corporation with Failure to Produce Books and Records