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: Updated Advisory on Self Reporting and Full Cooperation

Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Individuals

Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Companies

Enforcement Advisory: Advisory on Self Reporting and Cooperation for CEA Violations Involving Foreign Corrupt Practices

See CFTC Press Release 7518-17 (January 19, 2017) and
Speech of James McDonald, Director of the Division of Enforcement Commodity Futures Trading Commission Regarding Perspectives on Enforcement: Self-Reporting and Cooperation at the CFTC (September 25, 2017)

Date ENFORCEMENT ACTIONS
Michigan Court Issues Permanent Injunction Finding That Daniel M. O'Shaughnessey Defrauded Pool Customers of Over $435,000
Pennsylvania Court Issues Permanent Injunction Against Robert H. Rutman in CFTC Anti-Fraud Enforcement Action, Effectively Barring Him From the Futures Industry
CFTC ALJ Finds First Commercial Financial Group, Inc. (FCFG) Mark E. Rehn and John A. Hermanson Liable for Violating Capital Requirements and Filing False Reports in Connection With Check-Kiting Scheme
CFTC Accepts Settlement Offer of Edward T. Hamlet of Boca Raton, Florida Finding The He Aided and Abetted Commodity Fraud
CFTC Files Civil Injunctive Complaint and Motion of Preliminary Injunction Against Brien Sullivan of Honolulu, Hawaii
CFTC Charges Global Link Miami Corporation and Three Individuals with Fraud in the Offer and Sale of Illegal Futures Contracts
U.S. District Court Grants Summary Judgment to CFTC in Fraud Action Against Richard E. Maseri of Boca Raton, FLA., and Private Research, Inc.
Preliminary Injunction Entered Against FTI Financial Group of Toledo, Ohio, and Three of Its Partners in CFTC Anti-Fraud Enforcement Action
New York Federal Court Denies Motion to Dismiss in Case Brought By CFTC Involving Commodity Trading Advice Given Through Computer Software
Permanent Injunction and Multimillion Dollar Disgorgement Order Entered Against Carrington Financial Corp., Marc S. Wuensch, and A. Francis Sidoti in CFTC Anti-Fraud Action