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
CFTC Charges Iowa Resident Lon Olen Friedrichsen with Solicitation Fraud in Violation of the Commodity Exchange Act
CFTC Orders AMP Global Clearing LLC to Pay $100,000 for Supervision Failures Related to Cybersecurity of its Customers’ Records and Information
CFTC Orders Deutsche Bank Securities Inc. to Pay $70 Million Penalty for Attempted Manipulation of U.S. Dollar ISDAFIX Benchmark Swap Rates
CFTC Charges Jitesh Thakkar and Edge Financial Technologies, Inc. with Aiding and Abetting Spoofing and Manipulative and Deceptive Scheme
CFTC Charges Jiongsheng Zhao with Spoofing and Engaging in a Manipulative and Deceptive Scheme
CFTC Charges Trader Krishna Mohan with Spoofing and Engaging in a Manipulative and Deceptive Scheme
CFTC Charges James Vorley and Cedric Chanu with Spoofing and Engaging in a Deceptive and Manipulative Scheme in the Precious Metals Futures Markets
CFTC Charges Andre Flotron with Spoofing and Engaging in a Deceptive and Manipulative Scheme in the Precious Metals Futures Markets
CFTC Orders HSBC Securities (USA) Inc. Pay $1.6 Million Penalty for Spoofing In the Precious Metals Futures Markets
CFTC Orders UBS to Pay $15 Million Penalty for Attempted Manipulation and Spoofing In the Precious Metals Futures Markets