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 Charges Charles H. McAllister of Alabama with Engaging in a Fraudulent Precious Metals Scheme
CFTC Charges Pennsylvania Resident Michael Salerno and his Entities with Solicitation Fraud and Misappropriation in Connection with Retail Forex Transactions in Violation of the Commodity Exchange Act
CFTC Charges Multiple Individuals and Companies with Operating a Fraudulent Scheme Involving Binary Options and a Virtual Currency Known as ATM Coin
Federal Court in Michigan Enters Judgment against Jerry Stauffer for Commodity Pool Fraud
CFTC Charges The Kane Capital Investment Group, LLC and Amrit Chahal of Virginia with Operating a Commodity Pool Ponzi Scheme
CFTC Obtains Default Judgment and Permanent Injunction against Arizona Resident Cory Williams and His Company, Williams Advisory Group, LLC, for Commodity Pool Fraud
CFTC Charges New York Residents Kevin Whylie and Matthew Zecchini and Their Company, Algointeractive Inc, with Commodity Pool Fraud, Misappropriation, and Registration Violations
CFTC Orders Floor Broker Anuj C. Singhal to Pay $150,000 Penalty for Spoofing in Wheat Futures Market
Federal Court Orders Former Church Pastor Wesley Allen Brown, Maverick International, Inc., and Edward Rubin to Pay More than $8.6 Million for Commodity Fraud Scheme that Preyed on Church Congregation
Federal Court in New York Enters Preliminary Injunction Order against Patrick K. McDonnell and His Company CabbageTech, Corp. d/b/a Coin Drop Markets in Connection with Fraudulent Virtual Currency Scheme