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 Sanctions Rosenthal Collins Group, L.L.C. More than $1.3 Million for Supervision Violations
CFTC Sanctions Triland USA Inc. $725,000 for Failing to Maintain Secured Customer Funds and Failing to Provide Timely Notice to the CFTC of the Deficiency
CFTC Charges Accounting Firms McGladrey & Pullen, LLP and Altschuler, Melvoin & Glasser LLP, and Partner G. Victor Johnson II with Failure to Audit Properly Sentinel Management Group, Inc.
CFTC Imposes Permanent Trading Ban on Kevin McCormick for Submitting Trading Cards with Fictitious Commodity Futures Trades
CFTC Charges Rodney W. Whitney, Nicholas T. Cox and Their Trading Firm, Integra Capital Management LLC, with Operating a $3 Million Ponzi Scheme
CFTC Sanctions Alaron Trading Corporation $260,000 for Supervisory Failures
CFTC Charges Texas-based Company and its Principals with Issuing False Account Statements in Foreign Currency Anti-Fraud Action
CFTC Charges People’s Alternative, Inc. and its Principals with Commodity Pool Fraud and Misappropriation
Federal Court Freezes Assets of Mark Alan Vanderploeg and His Companies, Midwest Land & Livestock, Inc., SKV Farms Inc. and DCV Farms, Inc.
CFTC Charges Joseph L. Autry, Jr. and Autry Capital Management with Commodity Pool Ponzi Scheme Fraud, Misappropriation and Issuing False Customer Reports