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CFTC Enforcement Actions

					
The  (CFTC) is the United States agency with primary responsibility for enforcing the Commodity Exchange Act (CEA) and regulating commodity futures and related markets. Whistleblowers with knowledge of violations of laws and regulations enforced by the CFTC can submit a claim under the CFTC Whistleblower Reward Program, and may be eligible to receive a monetary reward and protection against retaliation by employers.


Below are summaries of recent CFTC settlements or successful enforcement actions. If you believe you have information about fraud which could give rise to a CFTC enforcement action and claim under the CFTC Whistleblower Reward Program, please contact us to speak with one of our experienced whistleblower attorneys.

				

			

			
						
					
			

	
		
		

			

				
				
September 29, 2016

				 The CFTC ordered Aden Rusfeldt (a/k/a “Big A”) of Vail, Arizona, to pay over $3.2 million in penalties and restitution for failing to disclose to prospective and current customers of his company, ETF Trend Trading, that he was prohibited by court order from engaging in any commodity-interest related activities.  				 					 

						
Tagged in:
													  Fraud in CFTC-Regulated Markets, 
													  Misrepresentations, 
													  Regulatory Violations, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
September 29, 2016

				 The CFTC filed a civil enforcement action against Thomas C. Lindstrom, of Winnetka, Illinois, alleging that he perpetrated a scheme to inflate the value and profitability of his options position and lie about the quantity of options and the risk associated with his position in order to defraud his employer, proprietary trading firm Rock Capital Markets, LLC, into paying him $285,000 in draws to which he was not entitled. According to the complaint, Lindstrom’s scheme caused Rock Capital to incur more than $13.9 million in losses and caused the collapse of the firm in early 2015.  				 					 

						
Tagged in:
													  Fraud in CFTC-Regulated Markets, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
September 29, 2016

				 The CFTC ordered Jon P. Ruggles of Orlando, Florida, to disgorge over $3.5 million in trading profits and to pay a $1.75 million penalty for engaging in fraudulent, fictitious, and noncompetitive trades in crude oil and heating oil futures and options and RBOB gasoline futures on the New York Mercantile Exchange.  				 					 

						
Tagged in:
													  Fraud in CFTC-Regulated Markets, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
September 28, 2016

				 The CFTC filed a complaint against eFloorTrade, LLC and its majority owner and sole principal John Moore, charging them with record keeping and supervision failures and charging Moore with making false and misleading statements of material fact, or omitting material facts, in sworn testimony before the CFTC.  				 					 

						
Tagged in:
													  Fraud in CFTC-Regulated Markets, 
													  Misrepresentations, 
													  Regulatory Violations, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
September 28, 2016

				  SG Americas Securities, LLC, successor to Newedge USA, LLC, a financial services firm registered with the CFTC as a Futures Commission Merchant, was ordered to pay a $750,000 penalty and undertake internal control procedures for participating in unlawful wash trades and for failing to diligently supervise employees over a three and a half year period.  				 					 

						
Tagged in:
													  Fraud in CFTC-Regulated Markets, 
													  Market Manipulation and Trading Violations, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
September 27, 2016

				 The CFTC filed a civil enforcement action against Kevin Michael Symons of Foothill Ranch, California, his wholly-owned company, FTS Financial, Inc. of Irvine, California, and Jerry Austin Simmons of Charlotte, North Carolina, charging them with the fraudulent promotion of Simmons’ “Real Time Trade Room," an online futures “trading” forum marketed by Defendants as a way to observe Simmons as he purported to trade futures contracts “live.” Additionally, the CFTC’s complaint charges Simmons with soliciting clients to open managed futures trading accounts without being registered with the CFTC as an Associated Person of a Commodity Trading Advisor.  				 					 

						
Tagged in:
													  Fraud in CFTC-Regulated Markets, 
													  Misrepresentations, 
													  Regulatory Violations, 
												
						

					
	
							
	
		
		
	


 			


 			




	
		
		

			

				
				
September 27, 2016

				 Advanced Trading Workshop, Inc. of Jamesville, New York, agreed to pay $940,000 in penalties and disgorgement to resolve allegations that it fraudulently solicited clients to purchase access to an online trading room and failed to register with the CFTC as a Commodity Trading Advisor.  				 					 

						
Tagged in:
													  Fraud in CFTC-Regulated Markets, 
													  Misrepresentations, 
													  Regulatory Violations, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
September 22, 2016

				  Barclays Bank PLC agreed to pay $500,000 to settle charges that it failed to create, maintain, and promptly produce required confirmations for metals and energy Exchange for Related Position trades.  				 					 

						
Tagged in:
													  Fraud in CFTC-Regulated Markets, 
													  Regulatory Violations, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
September 22, 2016

				 The CFTC filed an enforcement action against Jamal Y. Vance and All City Investments, LLC, charging them with solicitation fraud in connection with off-exchange foreign currency transactions and with failure to register as Commodity Trading Advisors.  				 					 

						
Tagged in:
													  Fraud in CFTC-Regulated Markets, 
													  Regulatory Violations, 
												
						

					
	
							
	
		
		
	


 			


											

						

								

									
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