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 Files Administrative Complaint Charging Curtis McNair Arnold and London Financial, Inc. with Fraud and Failure to Register in Commection with Marketing, Sale and Trading of "Pattern Probability Strategy" Trading System,
CFTC Discontinues Off-Exchange Task Force
CFTC Files and Settles Administrative Proceedings against Visioneering Resarch & Development Co., and Robert W. Everson for Violations of the Commission's Performance Record Regulations
CFTC Prevails in Action to Enforce Administrative Subpoenas
Pennsylvania Court Issues Consent Decree And Order Of Preliminary Injunction in CFTC Action Against Robert H. Rutman
Texas Court Issues Permanent Injunction In CFTC Action Against Eugene Morris Walter And Orders him To Pay Customer Restitution #
CFTC Files and Settles Administrative Proceeding Against Mitsubishi Corp., Merrill Lynch Futures, Inc., Country Hedging, Inc., and Charles B. Soule for Wash Sales Violations
CFTC Charges California Company, Its President and Three of the Firm's Telemarketers with Fraud in Sale of Illegal, Off-Exchange Precious Metals Futures Contracts Nationwide
CFTC Files Anti-Fraud Enforcement Action Against Murray Ira Rosenberg (d/b/a Pro Broker Services, Inc.) of Mullica Hill, New Jersey
CFTC Files Action Against Michael Myatt, Pragmacapital Corporation, And The Berkshire Internation Hedge Fund L.P. II, All Of Beaverton, Oregon, Seeking Permanent Injunction