Home / Cases / CFTC / Page 2 CFTC manipulation enforcement actions This library records 349 market manipulation enforcement actions brought by the Commodity Futures Trading Commission.
These are the CFTC actions our ingest has classified as involving a manipulation technique. Actions that do not allege manipulation are outside this library's scope and are not recorded, so this is not a complete mirror of CFTC enforcement.
Actions 100
Total penalties $315m
Median penalty $750k
Largest $95.7m
Criminal parallel 43% Action Agency Filed Technique Penalty Status CFTC v. New Jersey Resident and His Company (ponzi schemes, 2021) CFTC 2021-10-27 Ponzi Schemes — settled CFTC v. El Paso Resident and His Firm (ponzi schemes, 2021) CFTC 2021-10-20 Ponzi Schemes — filed CFTC v. Craig L. Clavin (ponzi schemes, 2021) CFTC 2021-10-12 Ponzi Schemes $370k judgment CFTC v. North Carolina Companies and Their Owners (ponzi schemes, 2021) CFTC 2021-10-08 Ponzi Schemes — unknown CFTC v. Former Hawaii Resident (benchmark submission rigging, 2021) CFTC 2021-09-16 Benchmark Submission Rigging , Ponzi Schemes — filed CFTC v. Ronald Montano (wash trading, 2021) CFTC 2021-09-15 Wash Trading $1.7m judgment CFTC v. Texas Resident and others (ponzi schemes, 2021) CFTC 2021-09-14 Ponzi Schemes , Wash Trading — filed CFTC v. Glen Galemmo (ponzi schemes, 2021) CFTC 2021-08-27 Ponzi Schemes — settled CFTC v. Former Energy Broker and Its Owner (wash trading, 2021) CFTC 2021-06-15 Wash Trading — judgment CFTC v. Zhao (spoofing, 2021) CFTC 2021-06-11 Spoofing — settled CFTC v. Chicago Commodity Pool Operators (paid stock promotion, 2021) CFTC 2021-05-27 Paid Stock Promotion $150k judgment CFTC v. Connecticut Firm (wash trading, 2021) CFTC 2021-05-18 Wash Trading $500k judgment CFTC v. Cipolla (ponzi schemes, 2021) CFTC 2021-05-14 Ponzi Schemes $5m judgment CFTC v. Aaron Michael Scott (ponzi schemes, 2021) CFTC 2021-04-27 Ponzi Schemes $1.3m judgment CFTC v. unnamed respondents (ponzi schemes, 2021) CFTC 2021-04-08 Ponzi Schemes $32m judgment CFTC v. Douglas Lien (ponzi schemes, 2021) CFTC 2021-04-08 Ponzi Schemes $5.2m judgment CFTC v. Former Fuel Oil Trader (price manipulation, 2021) CFTC 2021-03-25 Price Manipulation $100k judgment CFTC v. Coinbase Inc. (exchange wash trading, 2021) CFTC 2021-03-19 Exchange Wash Trading , Matched Orders +1 $6.5m judgment CFTC v. Two Individuals (paid stock promotion, 2021) CFTC 2021-03-05 Paid Stock Promotion , Pump And Dump — filed CFTC v. Eibschutz (insider trading, 2021) CFTC 2021-02-23 Insider Trading $75k settled CFTC v. New York Man (ponzi schemes, 2021) CFTC 2021-01-26 Ponzi Schemes — filed CFTC v. Mark N. Pyatt (ponzi schemes, 2020) CFTC 2020-12-22 Ponzi Schemes $255k judgment CFTC v. Vitol Inc. (price manipulation, 2020) CFTC 2020-12-03 Price Manipulation $95.7m judgment CFTC v. unnamed respondents (spoofing, 2020) CFTC 2020-12-01 Spoofing — unknown CFTC v. unnamed respondents (paid stock promotion, 2020) CFTC 2020-11-04 Paid Stock Promotion , Ponzi Schemes $450k judgment CFTC v. unnamed respondents (wash trading, 2020) CFTC 2020-10-13 Wash Trading $5.7m judgment CFTC v. unnamed respondents (spoofing, 2020) CFTC 2020-10-06 Spoofing — unknown CFTC v. Chicago Prop Firm and 3 Traders (spoofing, 2020) CFTC 2020-09-30 Spoofing $100k judgment CFTC v. Sunoco (spoofing, 2020) CFTC 2020-09-30 Spoofing $450k judgment CFTC v. Texas Man (wash trading, 2020) CFTC 2020-09-30 Wash Trading $670k judgment CFTC v. JPMorgan (price manipulation, 2020) CFTC 2020-09-29 Price Manipulation , Spoofing — judgment CFTC v. New Jersey Firm (wash trading, 2020) CFTC 2020-09-29 Wash Trading $300k judgment CFTC v. Slovakian Men and Their Company (spoofing, 2020) CFTC 2020-09-29 Spoofing — filed CFTC v. New York Firm and its Trader (spoofing, 2020) CFTC 2020-09-28 Spoofing $135k judgment CFTC v. 4 Florida Men (ponzi schemes, 2020) CFTC 2020-09-16 Ponzi Schemes — filed CFTC v. Edge Financial Technologies (spoofing, 2020) CFTC 2020-09-15 Spoofing $48.4k judgment CFTC v. Walsh (ponzi schemes, 2020) CFTC 2020-09-11 Ponzi Schemes — judgment CFTC v. Multiple Individuals and Entities (ponzi schemes, 2020) CFTC 2020-08-28 Ponzi Schemes — filed CFTC v. The Bank of Nova Scotia (spoofing, 2020) CFTC 2020-08-19 Spoofing $17m judgment CFTC v. The Bank of Nova Scotia (spoofing, 2020) CFTC 2020-08-19 Spoofing $50m judgment CFTC v. NYMEX (insider trading, 2020) CFTC 2020-08-04 Insider Trading $4m settled CFTC v. California and Colorado Residents (ponzi schemes, 2020) CFTC 2020-07-08 Ponzi Schemes — filed CFTC v. Illinois Resident and Broker (wash trading, 2020) CFTC 2020-07-06 Wash Trading $250k judgment CFTC v. Deutsche Bank Securities Inc. (spoofing, 2020) CFTC 2020-06-18 Spoofing $9m settled CFTC v. Unregistered Commodity Pool Operator and Its Chief Executive Officer (ponzi schemes, 2020) CFTC 2020-06-11 Ponzi Schemes — filed CFTC v. Kentucky Man (ponzi schemes, 2020) CFTC 2020-06-02 Ponzi Schemes — filed CFTC v. Danish Man (ponzi schemes, 2020) CFTC 2020-05-18 Ponzi Schemes — filed CFTC v. Trader and His Firm (wash trading, 2020) CFTC 2020-05-07 Wash Trading $150k judgment CFTC v. Investment Firm and VP (ponzi schemes, 2020) CFTC 2020-02-20 Ponzi Schemes — filed CFTC v. Colorado Resident (ponzi schemes, 2020) CFTC 2020-02-14 Ponzi Schemes — filed CFTC v. Australian Company (spoofing, 2020) CFTC 2020-01-21 Spoofing $462k judgment CFTC v. South Korean Company (spoofing, 2020) CFTC 2020-01-13 Spoofing $700k judgment CFTC v. US Coin Bullion LLC and its Owners (ponzi schemes, 2020) CFTC 2020-01-10 Ponzi Schemes — unknown CFTC v. Executive at Global Investment Bank (price manipulation, 2019) CFTC 2019-12-20 Price Manipulation — filed CFTC v. New Mexico Resident (ponzi schemes, 2019) CFTC 2019-12-10 Ponzi Schemes — filed CFTC v. unnamed respondents (spoofing, 2019) CFTC 2019-11-25 Spoofing — unknown CFTC v. Mitsubishi Corporation RtM Japan Ltd. (spoofing, 2019) CFTC 2019-11-07 Spoofing $500k judgment CFTC v. Proprietary Trading Firm (spoofing, 2019) CFTC 2019-11-07 Spoofing $24.4m judgment CFTC v. Nevada Company and its Owner (ponzi schemes, 2019) CFTC 2019-10-16 Ponzi Schemes — unknown CFTC v. unnamed respondents (ponzi schemes, 2019) CFTC 2019-10-15 Ponzi Schemes $12.6m judgment CFTC v. Sechovich (wash trading, 2019) CFTC 2019-10-07 Wash Trading — judgment CFTC v. Chicago Trading Firm Belvedere Trading LLC (spoofing, 2019) CFTC 2019-10-01 Spoofing $1.1m judgment CFTC v. Energy Broker and Its Owner (front running, 2019) CFTC 2019-10-01 Front Running $1.5m judgment CFTC v. Morgan Stanley Capital Group Inc. (spoofing, 2019) CFTC 2019-10-01 Spoofing $1.5m judgment CFTC v. RBC Capital Markets (wash trading, 2019) CFTC 2019-10-01 Wash Trading $5m judgment CFTC v. Trading Firm Mitsubishi International Corporation (spoofing, 2019) CFTC 2019-10-01 Spoofing $400k judgment CFTC v. Two Trading Firms (spoofing, 2019) CFTC 2019-10-01 Spoofing $1.5m judgment CFTC v. Chicago Trading Firm and Its Co-Founder (price manipulation, 2019) CFTC 2019-09-30 Price Manipulation , Spoofing $1.8m judgment CFTC v. Trader and his Company (ponzi schemes, 2019) CFTC 2019-09-19 Ponzi Schemes — unknown CFTC v. Christian Trunz (spoofing, 2019) CFTC 2019-09-16 Spoofing — judgment CFTC v. Futures Trader and Industrial Firm (spoofing, 2019) CFTC 2019-09-16 Spoofing $130k judgment CFTC v. Traders at Major U.S. Bank (price manipulation, 2019) CFTC 2019-09-16 Price Manipulation , Spoofing — filed CFTC v. Unregistered Forex Trading Firm and Its Principal (ponzi schemes, 2019) CFTC 2019-09-09 Ponzi Schemes — filed CFTC v. International Enterprise (boiler rooms, 2019) CFTC 2019-08-12 Boiler Rooms — unknown CFTC v. Trader (spoofing, 2019) CFTC 2019-07-31 Spoofing $150k judgment CFTC v. Corey D. Flaum (price manipulation, 2019) CFTC 2019-07-25 Price Manipulation , Spoofing — unknown CFTC v. unnamed respondents (paid stock promotion, 2019) CFTC 2019-07-19 Paid Stock Promotion $2.9m judgment CFTC v. Commodity Trading Firm (wash trading, 2019) CFTC 2019-06-28 Wash Trading $350k judgment CFTC v. unnamed respondents (ponzi schemes, 2019) CFTC 2019-06-27 Ponzi Schemes $1.2m judgment CFTC v. Merrill Lynch Commodities (price manipulation, 2019) CFTC 2019-06-25 Price Manipulation , Spoofing $11.5m judgment CFTC v. Company and its Principal (ponzi schemes, 2019) CFTC 2019-06-18 Ponzi Schemes — filed CFTC v. CEO of Managed Fund (ponzi schemes, 2019) CFTC 2019-05-10 Ponzi Schemes — filed CFTC v. Forex Trading Firms and Principals (ponzi schemes, 2019) CFTC 2019-04-22 Ponzi Schemes — filed CFTC v. Defendants (ponzi schemes, 2019) CFTC 2019-03-04 Ponzi Schemes $5.9m judgment CFTC v. Krishna Mohan (spoofing, 2019) CFTC 2019-02-25 Spoofing — dismissed CFTC v. Andre Flotron (spoofing, 2019) CFTC 2019-02-07 Spoofing $100k judgment CFTC v. Proprietary Trader (spoofing, 2019) CFTC 2019-01-31 Spoofing $120k judgment CFTC v. Chicago-area Trader (ponzi schemes, 2018) CFTC 2018-12-17 Ponzi Schemes — settled CFTC v. Gaylen Rust (ponzi schemes, 2018) CFTC 2018-12-17 Ponzi Schemes — filed CFTC v. Defendants Gaylen Dean Rust (ponzi schemes, 2018) CFTC 2018-11-16 Ponzi Schemes — filed CFTC v. unnamed respondents (insider trading, 2018) CFTC 2018-11-15 Insider Trading , Spoofing — unknown CFTC v. GBI (ponzi schemes, 2018) CFTC 2018-10-18 Ponzi Schemes $2.5m judgment CFTC v. Kamaldeep Gandhi (spoofing, 2018) CFTC 2018-10-12 Spoofing — judgment CFTC v. Owner of Precious Metals Firm (ponzi schemes, 2018) CFTC 2018-10-03 Ponzi Schemes — filed CFTC v. the Bank of Nova Scotia (spoofing, 2018) CFTC 2018-10-01 Spoofing $800k judgment CFTC v. unnamed respondents (insider trading, 2018) CFTC 2018-09-28 Insider Trading — filed CFTC v. Block Trade Broker (front running, 2018) CFTC 2018-09-28 Front Running , Insider Trading — filed CFTC v. Davis Ramsey (price manipulation, 2018) CFTC 2018-09-27 Price Manipulation $325k judgment CFTC v. Eleven Individuals and Five Entities (wash trading, 2018) CFTC 2018-09-27 Wash Trading — unknown CFTC v. Futures Trader (price manipulation, 2018) CFTC 2018-09-27 Price Manipulation $325k judgment
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