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's Division of Enforcement Establishes Virtual Open House on World Wide Web; Defendant Donald Chancey's Property to be Auctioned to Recover Funds Allegedly Embezzled in Commodities Scheme
CFTC Settles Statutory Disqualification Action Against CBOT Floor Broker Timothy J. Murphy; Conditions Murphy's Registration for a Two-Year Period
Florida District Court Judge Grants CFTC A Permanent Injunction Against JDI Limited D/B/A Future Vision, Richard A. Bandemer And Frederick W. Taft, Banning Defendants From The Futures Industry And Ordering Disgorgement, Among Other Sanctions
New York Federal Disctrict Court Dismisses Action Against CFTC Filed By AVCO Financial Corporation
CFTC Files Statutory Disqualification Action Against John P. Larocque And Simultaneously Accepts His Settlement Offer, Which Includes A Two-Year Period Of Conditioned Registration
CFTC Seeks Subpoena Enforcement To Compel Testimony And Production Of Records Related To London Financial, Inc., Of Jupiter, Florida, And Two Individuals.
EX PARTE Order Entered by Michigan Federal Court Freezes Assets of Daniel M. O'Shaughnessey, Glory Fund I, Inc., and Glory Fund L.L.C.
CFTC Accepts Settlement Of American Futures Group And Three Individuals Charged With Failure To Supervise
CFTC Files Anti-Fraud Enforcement Action Against Lexus Financial Group, Inc., David Alan Luger, And Mark Lee Singer, All Of Florida #
CFTC Reaches Settlement With Iowa State Bank & Trust of Fairfield, Iowa, Which Was Named As A Relief Defendant in a CFTC Anti-Fraud Action Filed in January 1996 Release