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 Wins Commodity Fraud Trial
CFTC Sanctions New York Resident James M. Peister and His Company, Northstar International Group, Inc., More than $11 Million to Settle CFTC Anti-Fraud Action
Minnesota Federal Court Orders Minnesota Man Charles E. Hays and His Company, Crossfire Trading, LLC, to Pay More than $84 Million in Disgorgement and Civil Monetary Penalties in Connection with Multi-Million Dollar Commodity Pool Ponzi Scheme
Utah Federal Court Freezes Assets of Robert Andres and His Houston Firm, Winsome Investment Trust, and Robert Holloway and His Salt Lake City Company, US Ventures LC
CFTC Orders Illinois Traders Andrew Daniels, Ed Taylor and Daniels Trading Group LLC to Pay $2 Million and Imposes Trading Prohibition for Violating Rough Rice Speculative Position Limits and Concealing Material Facts from the CME Group
CFTC Sues 14 Foreign Currency Firms in Nationwide Sweep
Florida Federal Court Orders Sarasota Resident Beau Diamond and his Company, Diamond Ventures LLC, to Pay More than $4 Million in Restitution and Civil Monetary Penalties in Connection with Multi-Million Dollar Forex Fraud
CFTC Charges Arizona Resident Anthony Eugene Linton with Operating a Foreign Currency Ponzi Scheme
CFTC Sanctions Commodity Trading Advisor Alan F. Dasher
CFTC Charges California Resident Scott Bottolfson with Operating a $14 Million Commodity Pool Ponzi Scheme