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
09/20/2010	CFTC Sanctions Former Metals Trader for Defrauding General Motors Order: CFTC v. Daniel J. Bealko
09/14/2010	CFTC Sanctions Houston-based Vitol Inc. and Vitol Capital Management Ltd. $6 Million for Willfully Failing to Disclose Material Facts to the New York Mercantile Exchange Order: CFTC v. Vitol Inc., et al.
09/02/2010	Honolulu-based Marvin Cooper and His Company, Billion Coupons, Inc., Ordered to Pay More than $6.2 Million in Sanctions in Connection with Ponzi Scheme Targeting the Deaf Community Summary Judgment: CFTC v. Billion Coupons, Inc., et al. CFTC Charges Hawaii-based Marvin Cooper and Billion Coupons, Inc. with Operatin…
08/30/2010	Former Floor Broker John Lee Neuman Permanently Banned from Trading for Fraud and Unauthorized Trading Order: CFTC v. John Lee Neuman
08/30/2010	Terrence R. Pipenhagen of Orlando, Fla. and His Two Companies to Pay $150,000 Penalty to Settle CFTC Fraud Charges Order: CFTC v. Terrence R. Pipenhagen, et al.
08/19/2010	Federal Court Freezes Assets of Oklahoma Man Jeremiah C. Yancy and His Company, Longbranch Group International LLC Complaint: CFTC v. Jeremiah C. Yancy, et al. Order: CFTC v. Jeremiah C. Yancy, et al.
08/16/2010	CFTC Sanctions ConAgra Trade Group, Inc. $12 Million for Causing a Non-Bona Fide Price to Be Reported in the NYMEX Crude Oil Futures Contract Order: CFTC v. ConAgra Trade Group, Inc. CFTC Commissioner Jill E. Sommers: ConAgra Trade Group, Inc. Dissent CFTC Commissioner Scott O'Malia: ConAgra Trade Group, Inc. Dissent
08/05/2010	Virginia-Based Financial Investments, Inc. Ordered to Pay $130,000 Fine to Settle CFTC Charges of Repeatedly Failing to File Commodity Pool Annual Reports on Time Order: CFTC v. Financial Investments, Inc. CFTC Sues Virginia-based Financial Investments, Inc. for Repeatedly Failing to …
07/29/2010	CFTC and Defendant Paul Greenwood Agree to a Consent Order Finding that Greenwood Operated a Multi-Billion Dollar Investment Scam Order: CFTC v. Stephen Walsh, et al. CFTC Charges New York Residents with Operating $1.3 Billion Investment Scam
07/28/2010	CFTC Charges Growth Capital Management LLC and Felon Robert Milhailovich, Sr., with Fraudulently Soliciting More than $30 Million to Trade Commodity Futures and Forex Complaint: CFTC v. Growth Capital Management, et al.

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