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
09/21/2017	CFTC Charges Nicholas Gelfman and Gelfman Blueprint, Inc. with Fraudulent Solicitation, Misappropriation, and Issuing False Account Statements in Bitcoin Ponzi Scheme Complaint: Gelfman Blueprint, Inc., and Nicholas Gelfman
09/06/2017	CFTC Charges Monex Deposit Company, its Affiliates, and their Principals in Multi-Million Dollar Fraudulent Precious Metals Scheme Complaint: Monex Deposit Company, Monex Credit Company, Newport Services Corpo… Concurring Statement of Commissioner Sharon Y. Bowen with Respect to the Commis…
09/05/2017	CFTC Orders Dallas, Texas-based W Resources, LLC to Pay a $150,000 Civil Monetary Penalty for Registration Violations Order: W Resources, LLC,
08/31/2017	CFTC Orders Ikon Global Markets, Inc. to Pay $200,000 for Recordkeeping Violations Order: Ikon Global Markets, Inc.
08/24/2017	CFTC Charges South Carolina Resident Thomas Lanzana, Florida Resident Nikolay Masanko, and Their Companies Blackbox Pulse, LLC and White Cloud Mountain, LLC with Fraud, Misappropriation, and Registration Violations Complaint: Thomas Lanzana, Individually d/b/a Unique Forex, Nikolay Masanko, B… Statutory Restraining Order: Thomas Lanzana, Individually d/b/a Unique Forex, N…
08/17/2017	Federal Court Orders Jeffrey Slemmer, Christian Dorrian, Adam Roth, and Their Florida-Based Companies to Pay over $5.4 Million in Restitution and a Penalty in CFTC Precious Metals and Diamonds Anti-Fraud Action Consent Order: Berkley Hard Assets
08/15/2017	CFTC Orders Aruba-based Copersucar Trading A.V.V. to Pay a $300,000 Penalty for Executing Wash Trades on ICE Order: Copersucar Trading A.V.V.
08/07/2017	CFTC Finds that The Bank of Tokyo-Mitsubishi UFJ, Ltd. Engaged in Spoofing of Treasury Futures and Eurodollar Futures Order: Bank of Tokyo-Mitsubishi UFJ, Ltd.
07/26/2017	CFTC Orders New York Trader Simon Posen to Pay a $635,000 Civil Monetary Penalty and Permanently Bans Him from Trading in CFTC-Regulated Markets for Spoofing in the Gold, Silver, Copper, and Crude Oil Futures Markets Order: Simon Posen
07/20/2017	CFTC Orders Atlanta Resident Arthur Toole III and His Companies to Pay Restitution and Penalties Totaling More than $493,000 for Commodity Pool Fraud Order: Arthur Toole III, Billionaire Investor Group, LLC, et al.

Enforcement Actions

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