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
11/26/2014	CFTC Seeks to Revoke the Registrations of John G. Wilkins and His Company, Altamont Global Partners LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud and on Wilkins’ Related Criminal Conviction Notice of Intent: Altamont Global Partners, LLC, et al
11/14/2014	CFTC Sanctions Rosenthal Collins Group for Supervision Violations Order: Rosenthal Collins Group, LLC
11/13/2014	CFTC Orders Five Banks to Pay over $1.4 Billion in Penalties for Attempted Manipulation of Foreign Exchange Benchmark Rates Examples of Misconduct in Private Chat Rooms Order: Citibank, N. A. Order: JPMorgan Chase Bank, N.A. Order: Royal Bank of Scotland plc Order: UBS AG Order: HSBC Bank plc Statement of Chairman Timothy Massad on today’s Forex Enforcement Announcement
11/07/2014	Federal Court in Florida Freezes Assets of Emini Experts LLC, Capital Trading Concepts LLC, Dante S. Giovannetti, and Relief Defendant Capital Futures LLC in Ongoing Fraud Scheme Complaint: Emini Experts LLC SRO Order: Emini Experts, LLC, et al
11/07/2014	CFTC Releases Annual Enforcement Results for Fiscal Year 2014
10/28/2014	Federal Court Permanently Bans North Carolina Resident Neal Hall from Trading and Registration and Imposes a $210,000 Penalty for Violating the CFTC’s Registration and Consumer Notice Provisions Order: Neal E. Hall Memorandum Opinion: Neal E. Hall
10/25/2014	Federal Court Orders California Resident Ryan A. Nassbridges and his California Companies to Pay over $18 Million in Civil Monetary Penalties in a Commodity Pool Precious Metals Scheme Order: American Bullion Exchange ABEX, Corp., et al. Judgment: American Bullion Exchange ABEX Corp., et al. Default: American Bullion Exchange ABEX Corp., et al.
10/25/2014	CFTC Obtains Default Judgment against Texas-Based Financial Robotics, Inc. for Fraudulent Forex Scheme Default: Financial Robotics, Inc.
10/23/2014	Federal Court Orders Boston Resident John B. Wilson and His Company, JBW Capital LLC, to Pay a Civil Penalty of More than $2.8 Million for Commodity Pool Fraud Final Judgment: John B. Wilson & JBW Capital LLC Summary Judgment: John B. Wilson & JBW Capital LLC
10/18/2014	CFTC Revokes Registrations of Abdul Sultan Walji and His Company, Arista LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud and on Walji’s Conviction for Criminal Commodities Fraud

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