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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 25, 2014

				 The CFTC entered an order requiring Louis J. Ferone, of Miami, Florida to pay restitution of $55,442 to customers and a $100,000 civil monetary penalty for engaging in illegal, off-exchange precious metals transactions.  				 					 

						
Tagged in:
													  Regulatory Violations, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
September 25, 2014

				 The CFTC filed a federal complaint charging Gregory Christopher Evans with unauthorized trading and concealing trading losses.  				 			
	
		
		
	


 			




	
		
		

			

				
				
September 24, 2014

				 The CFTC ordered Kennith Wayne Thrasher and Kennith Luke Thrasher to pay a $525,000 penalty for violating speculative position limits in live cattle futures.  				 			
	
		
		
	


 			




	
		
		

			

				
				
September 23, 2014

				 The CFTC settled charges against Todd Young of Atlanta, Georgia, and his company, Young Scott & Associates, for engaging in illegal, off-exchange precious metals transactions, requiring restitution of $162,487 to their customers and imposing permanent registration and trading bans.  				 					 

						
Tagged in:
													  Regulatory Violations, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
September 23, 2014

				 The CFTC filed a federal complaint charging Ohio's John Bullar and his company, Executive Management Advisors LLC, with fraud and embezzlement in operating a $8 million commodity pool and ponzi scheme.  				 					 

						
Tagged in:
													  Ponzi Schemes, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
September 17, 2014

				 The CFTC issued an order settling charges against Sean F. McCabe, a resident of Sunny Isles, Florida, and his company, WorldPMX, Inc., for engaging in illegal, off-exchange precious metals transactions and for operating WorldPMX as an unregistered Futures Commission Merchant (FCM).  The order requires McCabe and WorldPMX jointly to pay restitution totaling $1,048,807 and a civil monetary penalty of $140,000, and imposes permanent registration and trading bans on McCabe and WorldPMX.  				 					 

						
Tagged in:
													  Regulatory Violations, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
September 16, 2014

				 The CFTC has revoked the registrations of  SAC LLC and SAC LP for convictions upon guilty pleas to felony charges of wire fraud and securities fraud.  				 			
	
		
		
	


 			




	
		
		

			

				
				
September 16, 2014

				 The CFTC filed a complaint against Glen Galemmo of Cincinnati, Ohio, charging him with operating a multi-million dollar Ponzi scheme through his firm, QFC, LLC, from February 2010 through at least July 2013 and alleging millions of dollars in fraud.  				 					 

						
Tagged in:
													  Ponzi Schemes, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
September 15, 2014 

				 Federal court orders Brian Hunter to pay $750,000 civil fine and permanently prohibits Hunter from certain trading activities or registering with the CFTC over allegations that Hunter attempted to manipulate the price of natural gas futures contracts traded on the NYMEX. 				 			
	
		
		
	


 			




	
		
		

			

				
				
September 15, 2014

				 The CFTC issued an order filing and simultaneously settling charges against Morgan Stanley Smith Barney, LLC, a CFTC-registered Futures Commission Merchant, for improper supervision and records violations. The CFTC order requires Morgan Stanley to pay a $280,000 civil monetary penalty and to disgorge commissions it earned from the subject accounts. 				 			
	
		
		
	


 			


											

						

								

									
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