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 Obtains Asset Freeze in Fraudulent Solicitation and Misappropriation Case Against International Foreign Currency Firm, Atwood & James, and Michael Kardonick
CFTC Charges Nicholas Cosmo and Agape Companies with Defrauding Customers of Tens of Millions of Dollars in Commodity Futures Trading Scheme
CFTC Charges James Ossie and CRE Capital Corporation with Operating a $25 Million Foreign Currency Ponzi Scheme
New York Court Enters Order Imposing a Fine and Other Sanctions against Boris Shuster of Fort Dix, New Jersey, in a Foreign Currency Scam
CFTC Sanctions Four Commodity Pool Operators for Failing to File Timely Reports with the National Futures Association
CFTC Charges Philadelphia-area Resident with Operating $50 Million Ponzi Scheme
Florida Resident Joerg Heierle and Swiss Corporation INH-Interholding SA Ordered to Pay More Than $9 Million in Restitution and Penalties in CFTC Commodity Pool Anti-Fraud Action
CFTC Orders Brooklyn-Based Commodity Pool Operator and its Principal to Pay $1,350,000 in Restitution and Civil Monetary Penalties for Fraud, Misappropriation, and Furnishing False Documents to the National Futures Association
Connecticut Federal Court Orders Argentine Trader Diego Mariano Rolando to Pay More Than $10 Million in CFTC Anti-Fraud Action
New York Federal Court Orders Hedge Fund Linuxor Asset Management LLC, and its Principal Abbas A. Shah to Pay a $200,000 Civil Penalty in CFTC Anti-Fraud Action