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: New Division of Enforcement Policy on Cooperation

Date	ENFORCEMENT ACTIONS
06/26/2013	Federal Court Orders Alpha Trade Group S.A. and its Employees and Agents to Pay Combined Restitution and Penalties of $5.779 Million for Defrauding Pool Participants Amended Order: Alpha Trade Group, S.A. et al.
06/26/2013	Federal Court Orders Chicago Resident Christopher Varlesi to Pay over $1.3 Million to Settle Ponzi Scheme Fraud and Misappropriation Action Order: Christopher Varlesi
06/26/2013	CFTC Charges North Carolina Resident C. David Wright with Commodity Pool Fraud Complaint: CFTC v. Carl David Wright
06/21/2013	Federal Court in North Carolina Orders Toby D. Hunter, Prestige Capital Advisors, and D2W Capital Management to Pay over $11.7 Million for Fraud and other Violations in Commodity Pool and Managed Foreign Currency (Forex) Schemes Order: D2W Capital Management, LLC et al Order: Prestige Capital Advisors, LLC et al Order: Toby D. Hunter
06/20/2013	CFTC Orders ABN AMRO Clearing Chicago LLC to Pay $1 Million to Settle Charges of Segregated and Secured Fund Deficiencies, a Minimum Net Capital Violation, Books and Records Violation, and Supervision Failures Order: Abn Amro Clearing Chicago, LLC
06/19/2013	Federal Court in Puerto Rico Orders Angel F. Collazo, ACJ Capital, Inc., and Solid View Capital LLC to Pay over $1.5 Million to Settle Forex Fraud Charges in CFTC Enforcement Action Order: Felgi Investments Corp., et al Order: ACJ Capital, Inc., Solid View Capital LLC, et al
06/18/2013	CFTC Charges North Carolina Resident James A. Shepherd and James A. Shepherd, Inc. with Commodity Pool Fraud Complaint: James A. Shepherd, et al
06/13/2013	CFTC Files Enforcement Action against Arizona Resident for Issuing False Account Statements and Operating as an Unregistered Commodity Pool Operator Complaint: Thomas L. Hampton
06/07/2013	CFTC Charges “Prediction Market” Proprietor Banc de Binary with Violating the CFTC’s Off-Exchange Options Trading Ban and Operating as an Unregistered Futures Commission Merchant Amended Complaint: Banc De Binary Ltd. Binary Options and Fraud
06/06/2013	CFTC Files Complaint against U.S. Bank, N.A. Alleging Unlawful Use of Peregrine Financial Group, Inc.’s Customer Segregated Funds and Violation of Customer Segregation Laws Complaint: U.S. Bank, N.A.

Enforcement Actions

Policy and Notices

Resources

Actions

Sitemap

CFTC Headquarters