Enforcement Actions

The CFTC Division of Enforcement investigates and prosecutes alleged violations of the Commodity Exchange Act and Commission regulations. The CFTC takes enforcement actions against individuals and firms registered with the Commission, those who are engaged in commodity futures and option trading on designated domestic exchanges, and those who improperly market futures and options contracts.

View Dispositions
View Opinions and Adjudicatory Orders

Enforcement Advisory: Updated Advisory on Self Reporting and Full Cooperation

Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Individuals

Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Companies

Enforcement Advisory: Advisory on Self Reporting and Cooperation for CEA Violations Involving Foreign Corrupt Practices

See CFTC Press Release 7518-17 (January 19, 2017) and
Speech of James McDonald, Director of the Division of Enforcement Commodity Futures Trading Commission Regarding Perspectives on Enforcement: Self-Reporting and Cooperation at the CFTC (September 25, 2017)

Date	ENFORCEMENT ACTIONS
08/24/2020	CFTC Adds More Than 20 Unregistered Foreign Entities to RED List
08/21/2020	CFTC Orders Toronto-Based Firm to Pay $500,000 for Violating Capital, Reporting, and Supervision Rules Order: OANDA Corporation
08/19/2020	CFTC Orders The Bank of Nova Scotia to Pay $50 Million for Swap Dealer Compliance and Supervision Failures and False Statements Compliance Order:The Bank of Nova Scotia Addendum: The Bank of Nova Scotia
08/19/2020	CFTC Orders The Bank of Nova Scotia to Pay Record $77.4 Million for Spoofing and Making False Statements Spoofing Order: The Bank of Nova Scotia False Statements Order: The Bank of Nova Scotia
08/19/2020	CFTC Orders The Bank of Nova Scotia to Pay $127.4 Million for Spoofing, False Statements, Compliance and Supervision Violations Spoofing Order: The Bank of Nova Scotia False Statements Order: The Bank of Nova Scotia Compliance Order:The Bank of Nova Scotia Addendum: The Bank of Nova Scotia
08/10/2020	CFTC Orders Interactive Brokers LLC to Pay More Than $12 Million for Anti-Money Laundering and Supervision Violations Order: Interactive Brokers
08/05/2020	CFTC Obtains $3.8 Million Fraud Judgment Against Commodity Pool Operator and its Owner Default Judgment: Dominick Vincent Carducci, et al.
08/04/2020	NYMEX and Two Former Employees to Pay $4 Million for Disclosing Material Non-Public Information Consent Order: William Byrnes, et al.
07/27/2020	CFTC Awards Approximately $9 Million to Whistleblower WB Award No. 20-WB-08
07/21/2020	CFTC Announces Whistleblower Awards Totaling More Than $1 Million No. 20-WB-07

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