CFTC disciplinary history is made available as part of the agency's ongoing effort to protect market participants and the public from fraud, manipulation, and abusive practices.
CFTC disciplinary history available here includes Reparations Sanctions in Effect and Administrative Sanctions in Effect.
You can search CFTC disciplinary history by respondent name, other names used by respondent, CFTC docket number, or National Futures Association ID.
Reparations Sanctions in Effect
Here you can search reparations sanctions in effect from 1984 to date against individuals or firms who have not paid awards levied against them in proceedings under the CFTC reparations program. Because of their apparent failure to pay reparations awards ordered by the CFTC, the registrations of these individuals or firms have been suspended pursuant to Section 14(f) of the Commodity Exchange Act, 7 USC 18(f), and those listed here cannot trade on any contract market. This sanction remains in effect until the individual or firm submits proof to the CFTC that the amount required by the final reparations award, or an alternative agreed settlement, has been paid.
- Only individuals or firms who have not paid reparations awards are included. Any time an individual or firm pays an award, it is deleted from the list.
- Reparations sanctions in effect from 1975 to 1983 are not searchable here. They are available in list form only: Reparations Sanctions in Effect 1975 - 1983.
- Note: The effective dates of sanctions imposed in reparations cases filed in fiscal years 1977 through 1988 may not be available.
Administrative Sanctions in Effect
Here you can search the registration and trading sanctions currently in effect as a result of administrative enforcement or statutory disqualification proceedings.
Names included here are verified by CFTC staff. Individual or firm names are deleted from the reparations sanctions in effect lists when the CFTC receives adequate documentation to verify that payment has been made.
If your name or the name of your firm appears here and you have satisfied the award levied against you, please contact the CFTC Office of Proceedings by email or at 202-418-5508.
You may also find pertinent information at the National Futures Association. Visit NFA BASIC for CFTC registraton and NFA membership information and futures-related regulatory and non-regulatory actions contributed by NFA, the CFTC, and the U.S. futures exchanges.
The CFTC Proceedings Bulletin provides information about CFTC enforcement actions and statutory disqualification from registration proceedings.
If you have questions or comments, please contact the CFTC Office of Proceedings by email or by telephone at 202-418-5508.