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
EX PARTE Order Entered by Michigan Federal Court Freezes Assets of Daniel M. O'Shaughnessey, Glory Fund I, Inc., and Glory Fund L.L.C.
CFTC Accepts Settlement Of American Futures Group And Three Individuals Charged With Failure To Supervise
CFTC Files Anti-Fraud Enforcement Action Against Lexus Financial Group, Inc., David Alan Luger, And Mark Lee Singer, All Of Florida #
CFTC Reaches Settlement With Iowa State Bank & Trust of Fairfield, Iowa, Which Was Named As A Relief Defendant in a CFTC Anti-Fraud Action Filed in January 1996 Release
CFTC Files Three Separate Administrative Complaints Related to Grain Contracts, Alleging Violations of the Commodity Exchange Act.
Florida Federal Court Enters Ex Parte Asset in Joint CFTC-State of Florida Anti-Fraud Action Against James V. Dowler, Jr. and Dowler & Beekman Trading Co., LTD, Both of Vero Beach, Fla.
Texas Court Issues Preliminary Injunction in CFTC Anti-Fraud Action Against Eugene Morris Walter of Dallas, Texas
EX PARTE Order Entered By New York Federal Court Freezes Assets of World Wide Currencies Inc., United Currencies, And A+ Currencies of New York Release:
CFTC Files Civil Complaint Against Kent Allen Ahrens of York, Pennsylvania, Alleging Fraud Under the Commodity Exchange Act
CFTC Establishes Special Internet Web Pages Seeking Whereabouts of Defendent Donald B. Chancey, Who Fled With Customer Funds