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 Asset Freeze Order Issued by Arizona Court in CFTC Anti-Fraud Enforcement Action Against United Metals Trading Corp., Western National Trading, Anthony F. Andrews, & Marvin C. Pendergraft
Deloitte & Touche Agrees To Pay a $100,000 Civil Penalty to Settle a CFTC Administrative Complaint Filed Against It and Thomas D. Lux, a Partner in the Accounting Firm
5-Year Trading Ban, and Cease and Desist Order Against Zoltan (Lou) Guttman of New York.
Two Unregistered Commodity Trading Advisors Operating Over the Internet Halted From Violating Federal Commodity Laws
CFTC Files Anti-fraud Action Against a Turlock, California Commodity Pool Operator, Everett Scott Hobbs dba Commodity Futures Investment
CFTC Files Four-Count Complaint And Obtains Preliminary Injunction Against Thomas J. Deniz of Modesto, California
Florida Court Enters CFTC Settlement Order with Concorde Trading Group
CFTC Files Nine-Count Complaint And Obtains Preliminary Injunction Against Edward W. Schroeder, The Edward W. Schroeder Living Trust, And Andre D. Fite of Santa Monica and Los Angeles, California
Florida District Court Issues Orders of Disgorgement Against Rev. Gary A. Smith & Jay Blevins, Defendants in CFTC Anti-Fraud Action
Illinois Court Issues Permanent Injunction in CFTC Anti-fraud Action Against Zebedee McLaurin, V., of Chicago Requiring Restitution of Customer Funds, Among Other Sanctions