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
12/19/2015	CFTC Orders JPMorgan Chase Bank, N.A. to Pay $100 Million for Failure to Disclose Conflicts of Interest Order: JPMorgan Chase Bank, N.A.
12/11/2015	Federal Court Orders California Resident Thomas Gillons to Pay More than $1.9 Million in Restitution and Penalties for Fraud and Misappropriation Order: Thomas Gillons
12/08/2015	CFTC Files and Settles Charges against Total Gas & Power North America, Inc. and Therese Tran for Attempted Manipulation of Natural Gas Monthly Index Settlement Prices Order: Total Gas & Power North America, Inc., and Therese Tran
12/08/2015	CFTC Imposes a Monetary Penalty and Permanently Bars California Resident Garen Ovsepyan and Forex Trading Advisors Sharpe Signa, LLC and Haeres Capital, LLC from the Commodities Industry Order: Sharpe Signa, LLC, Haeres Capital, LLC and Garen Ovsepyan
12/05/2015	CFTC Charges California Resident David Bryant with Fraud and Acting as an Unregistered Commodity Pool Operator Complaint: David Bryant Statutory Restraining Order: David Bryant
12/03/2015	CFTC Orders Arya Motazedi to Pay a Civil Monetary Penalty and Restitution and Bans Him from Trading and Registration for Engaging in Gas and Crude Oil Futures Transactions that Defrauded His Employer Order: Arya Motazedi
12/01/2015	Federal Court in Illinois Permanently Bans Former Sentinel Management Group, Inc. CEO and President Eric A. Bloom from the Commodities Industry Order: Eric A. Bloom
11/19/2015	Federal Court in Florida Orders Restitution, a Civil Monetary Penalty, and Permanent Trading Bans against Sentry Asset Group, LLC dba Sentry Asset Management, LLC, and John Pakel for Engaging in Illegal, Off-Exchange Precious Metals Transactions Consent Order: Sentry Asset Group, LLC and John Pakel
11/17/2015	CFTC Charges IB Capital FX, LLC, Michel Geurkink, and Emad Echadi with Soliciting at Least $50 Million from Members of the Public for Forex Trading, without Being Registered with the CFTC Complaint: IB Capital FX, LLC, Michel Geurkink, and Emad Echadi
11/07/2015	CFTC Releases Annual Enforcement Results for Fiscal Year 2015

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