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
05/03/2019	CFTC Charges Principals of Binary Options Trading Firm with $4.8 Million Fraud Scheme Complaint: William Thomas Caniff, Arie Boss, Berkley Capital Management, LLC
04/29/2019	Federal Court Orders Binary Options Firm and Principal to Pay More Than $22 Million for Fraudulent Scheme Consent Order: Michael Shah and Zilmil, Inc. Final Judgment: Citrades
04/22/2019	CFTC Charges Forex Trading Firms and Principals in $75 Million Fraud Complaint: Oasis International Group, Mainstream Fund Services, Inc. Oasis Receivership Information
04/02/2019	Federal Court Orders Defendants to Pay More Than $2.7 Million in Connection with Commodity Pool Fraud Default Judgment: Thomas Lanzana, Mansanko, Blackbox Pulse and White Cloud Moun…
04/01/2019	Federal Court Finds Former Precious Metals CEO Robert Escobio in Contempt of Court for Failure to Pay Restitution to Defrauded Customers Order: SOUTHERN TRUST METALS, INC., Loreley Overseas Corporation, and Robert Es… Contempt Order: Robert Escobio
03/28/2019	Federal Court Orders Futures Trader to Pay a Penalty of More Than $1 Million for Fraud Consent Order: William H. Powderly IV Supplement Order: William H. Powderly IV
03/18/2019	In CFTC Action, Federal Court Orders Precious Metals Firm and its Principal to Pay More than $3.6 million in Monetary Sanctions for Precious Metals Fraud and Misappropriation Default Final Judgement: Mark Olson Mining Company and Betty Lea Grimes Order: Mark Olsen Mining Company and Betty Lea Grimes
03/18/2019	Federal Court Orders Precious Metals Dealer and Its Owner to Pay More than $2.3 Million for Fraud and Misappropriation in Gold and Silver Scheme Final Judgment: ROYAL METALS GROUP, LLC and CHELSEA GLESS
03/18/2019	Federal Court Orders Forex Fraudster and His Companies to Pay More Than $2.2 Million for Fraudulent Solicitation and Misappropriation of Customer Funds Judgment: Jin Choi, ET AL Default Judgment: Jin Choi, et al.
03/11/2019	Foreign Trading Platform and Its CEO to Pay $990,000 for Illegal Bitcoin-Related Transactions with U.S. Customers Consent Order: 1 Pool Ltd. and Patrick Brunner Trust Company Complex

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