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
09/14/2021	CFTC Charges Texas Resident and Six U.S. and Costa Rican Companies with Engaging in Two Fraudulent Schemes Totaling $6 Million Complaint: Rudy Avila, et al
09/02/2021	CFTC Files Action to Suspend Registration of Mississippi Man Based on Criminal Charges Notice of Intent: Ted Brent Alexander
08/27/2021	Federal Court Orders Ohio Resident and Multi-Million Dollar Ponzi Scheme Fraudster Permanently Banned from Trading and Registering with the CFTC Consent Order: Glen Galemmo
08/26/2021	CFTC Orders Idaho Man to Pay $150,000 for Registration Violation and Violations of Commodity Pool Operator Regulations Order: Cody Malosi Wilson
08/25/2021	Federal Court Orders Georgia Man and Two Companies to Pay Over $15.6 Million for Forex Fraud and Registration Violations Final Default Judgment: David Wayne Mayer, et al.
08/23/2021	Federal Court Orders Alabama Man to Pay More Than $16 Million in Precious Metals Fraud Consent Order: Charles H. McAllister Final Judgment: Charles H. McAllister
08/17/2021	CFTC Charges Unregistered Michigan Forex Firm and its Owner with Fraud and Misappropriation Complaint: Ali R. Bazzi and Welther Oaks LLC
08/17/2021	CFTC Charges Nebraska Commodity Pool Operator and its Owner with Fraud and Regulatory Violations Complaint: Michael Svejda, et al
08/13/2021	CFTC Orders Tyson Foods to Pay $1.5 Million for Position Limit, Reporting, and Recordkeeping Violations Order: Tyson Foods, Inc.
08/10/2021	Federal Court Orders BitMEX to Pay $100 Million for Illegally Operating a Cryptocurrency Trading Platform and Anti-Money Laundering Violations Consent Order: HDR Global Trading Limited, et al Commissioner Berkovitz Statement

Enforcement Actions

Resources

Actions

Sitemap

CFTC Headquarters