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
08/06/2009	California Court Imposes Fines and Other Sanctions Totaling More than $25 Million against Safevest LLC of Mission Viejo, California and its Owners, Jon G. Ervin and John V. Slye Order: Safevest, et al. Order: Ervin & Slye U.S. Commodity Futures Trading Commission Obtains Federal Court Order Freezing …
07/20/2009	Florida Court Enters Orders Imposing Fines and Other Sanctions against Randy Burstein and Nader Yazdani in CFTC Action Charging Commodity Options Fraud Order: Randy Burstein Order: Nader Yazdani CFTC Press Release 5032-04 Florida Federal Court Imposes More than $16 Million in Sanctions against Two So… Former Employee of Pompano Beach Commodity Firm, Leslie Weiner, Settles Charges…
07/14/2009	CFTC Charges Weston, Florida Man With Operating a $14 Million Dollar Fraudulent Commodities Scheme Complaint: CFTC v. Sean Nathan Healy, et al. Order: CFTC v. Sean Nathan Healy, et al.
07/09/2009	CFTC Charges Georgia Man with Operating a Multi-Million Dollar Forex Ponzi Scheme Complaint: CFTC v. Eldon A. Gresham, et al. Order: CFTC v. Eldon A. Gresham, et al.
07/09/2009	CFTC Charges California Man and His Company with Commodity Options Fraud Complaint: CFTC v. First Capital Futures Group, et al. Order: CFTC v. First Capital Futures Group, et al.
07/07/2009	CFTC Charges California Man Patrick Dailey and His Texas Company with Fraud in Connection with a Multi-Million Dollar Commodity Pool Complaint: CFTC v. Strongbow Investments GP, LLC and Patrick James Dailey Order: CFTC v. Strongbow Investments GP, LLC and Patrick Jospeh Dailey
06/29/2009	CFTC Sanctions Foreign Currency Broker Who Allowed Confidential Personal Information of its Customers to Appear on the Internet Order: Interbank FX, LLC
06/09/2009	CFTC Charges California-Based SNC Asset Management, Inc., SNC Investments Inc., CEO Peter Son, and CFO Jin K. Chung in an $85 Million Forex Ponzi Scam Complaint: CFTC v. SNC Asset Management, Inc., et al. Statutory Restraining Order: CFTC v. SNC Asset Management, et al. Korean-Language Translation of Press Release
05/26/2009	CFTC Charges Texas Residents Robert Watson, Daniel Petroski and their Companies with Fraud in Multi-Million Dollar Forex Scheme Complaint: CFTC v. PrivateFX Global One Ltd., SA, et al. Order: CFTC v. PrivateFX Global One Ltd., SA, et al.
05/21/2009	CFTC Charges Florida Resident Michael J. Riolo and His Two Companies with Fraud in Alleged Multi-Million Dollar Foreign Currency Scam Complaint: CFTC v. Michael Riolo, et al.

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