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
10/19/2011	CFTC Obtains Permanent Injunction against California Resident Scott Bottolfson and His Two Companies for Defrauding Customers in Multi-Million Dollar Commodity Pool Ponzi Scheme Order: Increase Investments, Inc.
10/11/2011	CFTC Obtains Default Judgment against North Carolina Foreign Currency Firm Barki LLC in a $38 Million Ponzi Scheme Order: Barki, LLC, et al. Order: Barki, LLC, et al. CFTC Charges North Carolina Foreign Currency Firm Barki, LLC and Its Recently D…
10/11/2011	Federal Court Orders Texas Resident Ray M. White and CRW Management LP to Pay More than $19 Million for Defrauding Customers and Misappropriating Millions of Dollars in Forex Fraud CFTC Charges Ponzi Scheme in Mansfield, Texas, Caused More Than 250 Investors t… Order: CRW Management LP, et al. Order: CRW Management LP, et al. Order: CRW Management LP, et al.
10/06/2011	CFTC Releases Annual Enforcement Results
10/04/2011	Federal Court Orders Convict Perry Jay Griggs and His Wife to Pay $2.1 Million Civil Penalty for Multi-Million Dollar Commodity Pool Fraud and Misappropriation Order: CFTC v. Aloha Trading Company, et al CFTC Charges Perry Jay Griggs, Rachelle Griggs and Aloha Trading Company, Inc. …
10/03/2011	Forex Capital Markets LLC Ordered to Pay More Than $14.2 Million to Settle CFTC Charges Relating to Its Failure to Supervise Customer Accounts Order: Forex Capital Markets LLC
09/30/2011	CFTC Charges Oscar Hernandez and His Florida Companies with Operating $3 Million Commodity Pool Ponzi Scheme Complaint: Midway Trading Company, LLC et al.
09/28/2011	CFTC Charges Alpha Trade Group, S.A. and Six Individuals with Fraud and Misappropriation in Connection with a $1.7 Million Foreign Currency and Futures Scheme Complaint: Alpha Trade Group, S.A., et al.
09/22/2011	CFTC Charges National Accounting Firm McGladrey & Pullen, LLP, and Partner David Shane with Failure to Properly Audit One World Capital Group, a Former Registered Futures Commission Merchant Order: David Shane and McGladrey & Pullen, LLP
09/15/2011	CFTC Charges California Resident James D. Crombie and Paron Capital Management, LLC with Making False, Fictitious, or Fraudulent Statements to the National Futures Association Complaint: Paron Capital Management, LLC, et al.

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