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
02/27/2012	CFTC Charges Alexander Giap of Annandale, Va., with Fraud by an Unregistered Commodity Trading Advisor Complaint: CFTC v. Alexandria Giap and Itrade LLC
02/27/2012	CFTC Orders James G. Brandolino to Pay $1 Million Penalty to Settle CFTC Charges of Commodity Futures Fraud Order: James Giacomo Brandolino
02/23/2012	CFTC Orders Iowa Resident Jeffrey J. Kinseth and His Company, Virtual Vision Inc., to Pay More than $1 Million in Restitution and Penalties in Fraud Action Order: CFTC v. Jeffrey J. Kinseth and et al
02/22/2012	CFTC Orders New York Firm D.E. Shaw & Co. L.P. to Pay $140,000 Penalty for Violating Soybean and Corn Futures Speculative Position Limits Order: CFTC v. D.E. Shaw & CO. L.P.
02/22/2012	CFTC Settles Action against Aaron Klein for Failing to Disclose He Was a Registrant’s Principal Order: CFTC v. Aaron Klein
02/17/2012	CFTC Charges Mitchell Brian Huffman of North Carolina with Operating a Fraudulent $3.2 Million Commodity Pool Scheme Complaint: Mitchell Brian Huffman
02/16/2012	Federal Court Orders Texas Resident Robert D. Watson to Pay $31 Million for Defrauding Customers, Misappropriating Millions of Dollars, and Providing Fictitious Records in Forex Scheme Consent Order: PrivateFX Global One Ltd., SA, et al. Consent Order: Daniel Petroski Order: PrivateFX Global One Ltd., SA, et al.
02/15/2012	Georgia Federal Court Enters Order for Permanent Injunction against Joseph L. Autry, Jr. and His Company, Autry Capital Management LLC, for Commodity Fraud Order: Joseph I. Autry Jr., et al.
02/15/2012	CFTC Charges Puerto Rico Resident Angel F. Collazo and his Companies, ACJ Capital Inc. and Solid View Capital LLC, in Forex Fraud Ponzi Scheme Complaint: CFTC v. Solid View Capital LLC et al Order: CFTC v. Solid View Capital LLC et al Order: ACJ Capital, Inc., et al.
02/09/2012	CFTC Obtains Permanent Injunction against British Virgin Island Firm InterForex, Inc. for Acting as an Unregistered Retail Forex Dealer; Firm Ordered to Modify Website Order: CFTC v. Interforex, Inc.

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