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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View Opinions and Adjudicatory Orders

Enforcement Advisory: New Division of Enforcement Policy on Cooperation

Date ENFORCEMENT ACTIONS
CFTC Charges Ohioans Kevin and Keelan Harris, Complete Developments LLC, Investment International Inc. and Three Ontario, Canada-based Defendants with Operating a Multi-Million Dollar Foreign Currency Ponzi Scheme
Federal Court Imposes More than $41.2 Million in Relief and Sanctions against Idaho-based Daren L. Palmer and His Company, Trigon Group LLC, in Commodity Pool Ponzi Scheme
CFTC Enforcement Program Filings Increase 14 Percent in Fiscal Year 2010
CFTC Files Action to Revoke the Registrations of Cornerstone Capital Management, Inc.
CFTC Charges Accounting Firms McGladrey & Pullen, LLP and Altschuler, Melvoin & Glasser LLP, and Partner G. Victor Johnson II with Failure to Audit Properly Sentinel Management Group, Inc.
CFTC Sanctions Rosenthal Collins Group, L.L.C. More than $1.3 Million for Supervision Violations
CFTC Sanctions Triland USA Inc. $725,000 for Failing to Maintain Secured Customer Funds and Failing to Provide Timely Notice to the CFTC of the Deficiency
CFTC Imposes Permanent Trading Ban on Kevin McCormick for Submitting Trading Cards with Fictitious Commodity Futures Trades
CFTC Sanctions Alaron Trading Corporation $260,000 for Supervisory Failures
CFTC Charges Texas-based Company and its Principals with Issuing False Account Statements in Foreign Currency Anti-Fraud Action