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.

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Enforcement Advisory: New Division of Enforcement Policy on Cooperation

Date	ENFORCEMENT ACTIONS
12/10/2013	Federal Court in Austin, Texas Orders Australian Defendants to Pay over $192 Million in Restitution and Fines for Forex Fraud Order: Senen Pousa and Investment Intelligency Corp. ProphetMax Receivership
12/05/2013	Federal Court Orders Defendants Arista LLC, Abdul Sultan Walji, and Reniero Francisco, All of Southern California, to Pay over $22 Million in Restitution and Fines for Commodity Pool Fraud and Making False Statements to the CFTC Consent Order: Arista LLC, et al
11/28/2013	Federal Court in California Orders James D. Crombie to Pay over $1.5 Million for Misrepresentations to the National Futures Association and for Solicitation Fraud Judgment and Order: James D. Crombie
11/27/2013	Federal Court in Connecticut Orders Feisal Sharif to Pay over $3 Million to Settle Fraud Charges in CFTC Action Consent Order: Feisal Sharif Commodity Pool Fraud Advisory
11/26/2013	Daniel Shak, Former Principal of SHK Management LLC, and SHK Management LLC to Jointly Pay $400,000 Penalty to Settle CFTC Charges of Attempted Manipulation of NYMEX Crude Oil Futures Contracts Order: Daniel Shak and SHK Management LLC
11/20/2013	Federal Court Sanctions David Prescott for Forex Pool Fraud Order: David Prescott Foreign Currency Trading (Forex) Fraud Advisory Commodity Pool Fraud Advisory
11/19/2013	Federal Court in New York Orders MF Global Inc. to Pay over $1 Billion in Restitution to Customers of MF Global Inc. Consent Order: MF Global Inc., et al
11/14/2013	Federal Court in California Orders Thomas B. Breen, a Principal of National Equity Holdings, Inc., to Pay $1.75 million to Settle Fraud Charges in CFTC Action Order: Thomas Breen
11/13/2013	Federal Court in Massachusetts Orders Lyndon Parrilla to Pay over $17 Million in Disgorgement, Restitution, and a Penalty in Forex Fraud Scheme Order: Green Tree Capital, et al Memorandum Order: Lyndon Lydell Parrilla
11/07/2013	CFTC Obtains Restraining Order against Commodity Pool Operator and Commodity Trading Advisor, AlphaMetrix, LLC, Alleging Misappropriation of Pool Funds and Sending False or Misleading Statements Complaint: Alphametrix Group, LLC Order: Alphametrix, LLC

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