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
09/09/2011	CFTC Charges North Carolina Resident Toby D. Hunter and Two of His Companies with Fraud and Misappropriation in Multi-Million Dollar Commodity Scheme Complaint: Prestige Capital Advisors, LLC, et al. Order: Prestige Capital Advisors, LLC, et al.
09/08/2011	CFTC Charges Massachusetts Man Jeffrey Liskov and His Company, EagleEye Asset Management, LLC, with Committing a $3 Million Forex Fraud Complaint: Jeffrey Liskov, et al.
09/08/2011	CFTC Sues 11 Foreign Currency Firms in Second Nationwide Sweep Against Unregistered Firms Complaint: Lucid Financial, Inc. Complaint: GBFX, LLC, et al. Complaint: 1st Investment Management, LLC Complaint: O.C.M. Online Capital Markets Complaint: Windsor Brokers, Ltd. Complaint: City Credit Capital, (UK) Ltd. Complaint: Trading Point Complaint: InterForex, Inc. Complaint: Enfinium Pty Ltd. Complaint: MF Financial, Ltd. CFTC Sues 14 Foreign Currency Firms in Nationwide Sweep
09/01/2011	CFTC Charges North Carolinian Roy Scarboro, Jr. with Solicitation Fraud and Misappropriating Customer Funds in Forex Scheme Order: CFTC v. Ray E. Scarboro, Jr.
08/31/2011	CFTC Obtains Final Judgment against Italian National Carmine Garofalo Charged with Illegal Trading Order: Carmine Garofalo CFTC Charges Carmine Garofalo with Illegal Trading on a U.S. Exchange
08/25/2011	CFTC Orders Dearborn Trading, Inc. and Joel Bronstein of Chicago, Illinois to pay $180,000 Civil Penalty for Failing to File Pool’s Closing Annual Report Order: Dearborn Trading, Inc., et al.
08/25/2011	Chicago-Based Floor Broker Craig Taffel Pays $180,000 Civil Monetary Penalty to Settle Charges that He Acted as an Unregistered Futures Commission Merchant Order: Craig A. Taffel
08/25/2011	Chicago Futures Commission Merchant Tenco, Inc. Settles CFTC Charges that it Failed to Diligently Supervise and Placed Trades Without Proper Authorization Order: Tenco, Inc.
08/22/2011	CFTC Charges Douglas Elsworth Wilson and Three California Companies with Solicitation Fraud, Misappropriating Customer Funds, and Issuing False Statements in Multi-Million Dollar Commodity Futures and Forex Scheme Complaint: Douglas Elsworth Wilson, et al Order: CFTC v. Douglas Elsworth Wilson, et al
08/10/2011	CFTC Charges Blue Sky Capital Management Corp. and Gregory M. Schneider with Making False Statements to the National Futures Association Complaint: Blue Sky Capital Management Corp., et al.

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