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
06/05/2006	Federal Court Imposes $10 Million in Sanctions on Florida Corporation and Five South Florida Men in Commodity Options Fraud Case Order: First American Investment Services Inc., Steve Knowles, Michael Savitsky…
05/09/2006	Federal Court Orders San Antonio, Texas Area Resident Stuart J. Pippin to Pay $1.68 Million to Hedge Fund Investors Permanent Injunction Order: Stuart Pippin
05/04/2006	Dallas, Texas Area Resident Roger Owen and His Two Companies Ordered to Pay $1.75 Million in Fraud Action Brought by the CFTC Order: Roger Owen, Longhorn Financial Advisors LLC, and Phoenix Financial Group Order: Daniel Belbeck
05/04/2006	Federal Court Finds that Oklahoma Trader Randy Steve Lanier Defrauded Customers in a Commodity Scheme Involving Misappropriation of Customer Funds Permanent Injunction Order: Randy Steve Lanier
05/01/2006	CFTC to Participate in Annual Money Smart Week In Chicago Chicago Fed Money Smart Week Website
04/27/2006	U.S. District Court Freezes Assets of South Florida Foreign Currency Firm First International Group, Inc. Based on Fraud Charges by CFTC Complaint: First International Group, Inc., Michael Mesa, and Tom Keesee Asset Freeze Order: First International Group, Inc., Michael Mesa, and Tom Kees…
04/20/2006	U.S. Attorney Indicts North Carolina Couple Howell and Vernice Woltz for Obstructing Civil Litigation Brought by CFTC Bill of Indictment: Howell Woltz and Vernice Woltz Asset Freeze Order: First International Group, Inc., Michael Mesa, and Tom Kees… CFTC Press Release 4908-04
04/11/2006	Mesa, Arizona Foreign Currency Trader Ronald Stephen Holt Settles Fraud Charges with CFTC for Nearly $32 Million Permanent Injunction Order: International Funding Association, et al.
03/31/2006	Fraudulent Commodity Brokers Charles Hoffecker and Charles Myers Convicted in Commodity Scheme U.S. Attorney Press Release: Two Masterminds of $13 Million International Fraud…
03/20/2006	CFTC Charges Las Vegas, Nevada, Resident Richard McCall With Fraud, Alleging that McCall, Doing Business As The Mastery Group International, Fraudulently Solicited Clients for Futures Trading Workshops on the Internet Complaint: Richard McCall d/b/a The Mastery Group International Preliminary Injunction Order: Richard McCall d/b/a The Mastery Group Internatio…

Enforcement Actions

Resources

Actions

Sitemap

CFTC Headquarters