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
05/09/2012	CFTC Charges New York Firm Madison Dean, Inc., and its Principals, George Athanasatos and Laurence Dodge, with Forex Fraud Complaint: Madison Dean, Inc., et al.
05/08/2012	CFTC Obtains Default Judgment against Former Florida Resident Juvenal E. Machado and His Company, Invers Forex, LLC, for Off-Exchange Forex Scam Order: Juvenale E. Machado, et al.
05/03/2012	CFTC Charges Illinois Resident Dimitry Vishnevetsky and His Company, Oxford Capital, LLC, with Commodity Pool Fraud Order: Dimitry Vishnevetsky, et al. Complaint: Dimitry Vishnevetsky, et al.
05/03/2012	Federal Court in New York Orders Thomas Qualls and His Company, International Foreign Currency, to Pay More than $4.6 Million in Restitution and Penalties in Connection with Off-Exchange Forex Futures Fraud Order: International Foreign Currency, Inc., et al. Memo: International Foreign Currency, Inc., et al.
05/03/2012	CFTC Charges Utah Residents Christopher Hales, Eric Richardson and their Company, Bentley Equities, LLC, with Fraud and Misappropriation Complaint: Bentley Equities, LLC, et al.
05/01/2012	CFTC Charges Sidney J. Charles, Jr. and his Maryland-based Company, The Borrowing Station, LLC, in Forex Ponzi Scheme Complaint: The Borrowing Station LLC, et al. Order: The Borrowing Station LLC, et al.
05/01/2012	Federal Court in Illinois Orders Trading Point of Financial Instruments Ltd. to Pay $140,000 Penalty for Acting as Unregistered Retail Forex Dealer Order: Trading Point of Financial Instruments Ltd.
04/26/2012	CFTC Settles Action against Florida Resident Ghassan Tawachi for Fraud and Misappropriation Order: Ghassan Tawachi
04/26/2012	Federal Court Enters Order Settling CFTC $85 Million Forex Fraud Action against California Resident Peter Son and his Companies SNC Asset Management, Inc. and SNC Investments, Inc. Order: SNC Asset Management, Inc., et al. Order: SNC Asset Management, Inc., et al.
04/26/2012	CFTC Orders Texas-based PassThrough Investments, LLC, and its Principals, Stephen Brantley and Dwayne Bryant Dawson, to Pay over $1.1 Million in Sanctions to Settle CFTC Charges of Fraud in Operating a Forex Trading Pool Order: PassThrough Investments, LLC, et al.

Enforcement Actions

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