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
New York Federal Court Orders New York Financial Advisor Wayne P. Weddington III and His Companies to Pay More than $1 Million for Commodity Pool Fraud and Unregistered Activity
CFTC Charges Illinois Resident Husam Tayeh, Dinar Corp., Inc., and My Monex, Inc. with Fraud and Other Violations Involving Foreign Currency Scheme
Court Orders $76 Million in Civil Monetary Penalties against Keith F. Simmons, Deanna Salazar and Their Companies in Connection with Foreign Currency Ponzi Scheme
Federal Court Orders Florida Attorney Jay Bruce Grossman to Pay a Civil Penalty and Restitution Totaling $883,000
Federal Court Orders North Carolina Resident Carl David Wright to Pay a $1 Million Civil Penalty for Commodity Pool Fraud
CFTC Files Enforcement Action against Chinese National Yumin Li and BVI Company Kering Capital Ltd. for Defrauding a CME Member in an Illegal Trading Scheme
CFTC Charges Illinois Resident Nick A. Wurl and His Company Ludiera Capital LLC with Fraud and Misappropriation in $9 Million Scheme
Federal Court Orders a $500,000 Civil Penalty against Joseph F. Welsh III for Attempted Manipulation of Palladium and Platinum Futures Contracts
Missouri Federal Court Orders Gregory Christopher Evans to Pay a Penalty of over $1.2 Million for Fraud and Unauthorized Swaps Trading
Barclays to Pay $400 Million Penalty to Settle CFTC Charges of Attempted Manipulation and False Reporting of Foreign Exchange Benchmark Rates