Home / Cases / CFTC / Page 4 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 49
Total penalties $1.1bn
Median penalty $1.5m
Largest $475m
Criminal parallel 45% Action Agency Filed Technique Penalty Status CFTC v. Utah Resident Scott A. Beatty and his Company (ponzi schemes, 2014) CFTC 2014-10-01 Ponzi Schemes $1m judgment CFTC v. Fan Zhang (wash trading, 2014) CFTC 2014-09-30 Wash Trading $250k judgment CFTC v. Illinois Resident Gerald J. Considine and His Companies (wash trading, 2014) CFTC 2014-09-30 Wash Trading — filed CFTC v. Absa Bank (wash trading, 2014) CFTC 2014-09-26 Wash Trading $150k judgment CFTC v. Ohio Resident John R. Bullar and his Company (ponzi schemes, 2014) CFTC 2014-09-24 Ponzi Schemes , Wash Trading — filed CFTC v. Ohio Resident Glen Galemmo (ponzi schemes, 2014) CFTC 2014-09-17 Ponzi Schemes — filed CFTC v. SAC LP (insider trading, 2014) CFTC 2014-09-17 Insider Trading — unknown CFTC v. Brian Hunter (price manipulation, 2014) CFTC 2014-09-16 Price Manipulation $7.5m judgment CFTC v. Morgan Stanley Smith Barney (ponzi schemes, 2014) CFTC 2014-09-16 Ponzi Schemes $280k judgment CFTC v. FirstRand Bank (wash trading, 2014) CFTC 2014-08-28 Wash Trading $150k judgment CFTC v. North Carolina Resident Edwin A. Vasquez and His Company Vasquez Global Investments (ponzi schemes, 2014) CFTC 2014-08-08 Ponzi Schemes — filed CFTC v. Parnon Energy Inc. (price manipulation, 2014) CFTC 2014-08-05 Price Manipulation $13m settled CFTC v. Lloyds Banking Group and Lloyds Bank (benchmark submission rigging, 2014) CFTC 2014-07-29 Benchmark Submission Rigging , Cash Vs Derivatives Schemes +1 $105m judgment CFTC v. Robert Andres (ponzi schemes, 2014) CFTC 2014-06-20 Ponzi Schemes $32.4m judgment CFTC v. RP Martin Holdings Limited and Its Subsidiary (benchmark submission rigging, 2014) CFTC 2014-05-16 Benchmark Submission Rigging , Price Manipulation +1 $1.2m judgment CFTC v. unnamed respondents (ponzi schemes, 2014) CFTC 2014-04-01 Ponzi Schemes $5.8m judgment CFTC v. Defendants Ward Onsa (ponzi schemes, 2014) CFTC 2014-04-01 Ponzi Schemes $5.7m judgment CFTC v. Defendants (ponzi schemes, 2014) CFTC 2014-03-22 Ponzi Schemes $2.2m filed CFTC v. South Carolina Residents Robert S. and Amy L. Leben (ponzi schemes, 2014) CFTC 2014-03-20 Ponzi Schemes — unknown CFTC v. Dimitry Vishnevetsky (benchmark submission rigging, 2014) CFTC 2014-03-11 Benchmark Submission Rigging $1.9m judgment CFTC v. Defendants Harbor Light Asset (ponzi schemes, 2014) CFTC 2014-02-12 Ponzi Schemes $5.2m judgment CFTC v. David M. Nunn (wash trading, 2013) CFTC 2013-12-20 Wash Trading $600k judgment CFTC v. David R. Lynch (ponzi schemes, 2013) CFTC 2013-12-13 Ponzi Schemes $300k judgment CFTC v. of Attempted Manipulation of NYMEX Crude Oil Futures Contracts (banging the close, 2013) CFTC 2013-11-26 Banging The Close , Price Manipulation +1 $400k judgment CFTC v. Donald R. Wilson and his Company (banging the close, 2013) CFTC 2013-11-07 Banging The Close , Price Manipulation +1 — unknown CFTC v. Co (benchmark submission rigging, 2013) CFTC 2013-10-30 Benchmark Submission Rigging , Price Manipulation $475m judgment CFTC v. UBS (benchmark submission rigging, 2013) CFTC 2013-10-25 Benchmark Submission Rigging , Ponzi Schemes +2 $1.5m settled CFTC v. ICAP Europe Limited (benchmark submission rigging, 2013) CFTC 2013-09-26 Benchmark Submission Rigging , Price Manipulation $65m judgment CFTC v. unnamed respondents (ponzi schemes, 2013) CFTC 2013-08-27 Ponzi Schemes $350k settled CFTC v. Panther Energy Trading LLC and its Principal Michael J. Coscia (spoofing, 2013) CFTC 2013-07-23 Spoofing $1.4m judgment CFTC v. Texas-based RFF GP (paid stock promotion, 2013) CFTC 2013-07-13 Paid Stock Promotion — unknown CFTC v. Defendant Christopher Varlesi (paid stock promotion, 2013) CFTC 2013-06-26 Paid Stock Promotion , Ponzi Schemes $700k judgment CFTC v. North Carolina Resident C. David Wright (ponzi schemes, 2013) CFTC 2013-06-26 Ponzi Schemes — unknown CFTC v. Bentley Equities (ponzi schemes, 2013) CFTC 2013-06-05 Ponzi Schemes $150k judgment CFTC v. Defendants Philip Milton (ponzi schemes, 2013) CFTC 2013-05-24 Ponzi Schemes $4m judgment CFTC v. Christy (ponzi schemes, 2013) CFTC 2013-05-21 Ponzi Schemes — settled CFTC v. unnamed respondents (ponzi schemes, 2013) CFTC 2013-05-14 Ponzi Schemes $2.5m filed CFTC v. Ron Eibschutz (insider trading, 2013) CFTC 2013-05-09 Insider Trading — filed CFTC v. Kevin McLaren (wash trading, 2013) CFTC 2013-04-30 Wash Trading $200k judgment CFTC v. unnamed respondents (ponzi schemes, 2013) CFTC 2013-04-24 Ponzi Schemes $1.5m judgment CFTC v. Defendants PMC (ponzi schemes, 2013) CFTC 2013-04-18 Ponzi Schemes $560k judgment CFTC v. New York Firm 4X Solutions (ponzi schemes, 2013) CFTC 2013-04-09 Ponzi Schemes — filed CFTC v. Cilli (ponzi schemes, 2013) CFTC 2013-03-28 Ponzi Schemes — unknown CFTC v. Ronnie Gene Wilson (ponzi schemes, 2013) CFTC 2013-03-01 Ponzi Schemes $23m judgment CFTC v. CME Group’s New York Mercantile Exchange and Two Former Employees (insider trading, 2013) CFTC 2013-02-22 Insider Trading — filed CFTC v. Gelber Group (wash trading, 2013) CFTC 2013-02-09 Wash Trading $750k judgment CFTC v. unnamed respondents (ponzi schemes, 2013) CFTC 2013-02-07 Ponzi Schemes $2.4m settled CFTC v. The Royal Bank of Scotland plc and RBS Securities Japan Limited (benchmark submission rigging, 2013) CFTC 2013-02-07 Benchmark Submission Rigging , Price Manipulation +1 $325m judgment CFTC v. unnamed respondents (ponzi schemes, 2013) CFTC 2013-01-29 Ponzi Schemes $1.5m settled
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