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.

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Date ENFORCEMENT ACTIONS
CFTC Charges Commodity Pool Operator Tyche Asset Management LLC and its Controlling Principal in a $6 Million Commodity Pool Ponzi Scheme
CFTC Orders The Bank of Nova Scotia to Pay a $15 Million Penalty for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods
Federal Court Orders Former Head of International Binary Options Scheme to Pay More than $561,000 in Restitution
CFTC Charges Commodity Trading Advisor, Commodity Pool Operator and Its Owner with Fraudulently Allocating Trades
Federal Court Orders South African CEO to Pay Over $3.4 Billion for Forex Fraud
Swap Dealer Pays Over $6.8 Million for Violations of Swap Dealer Business Conduct Standards
CFTC Charges Precious Metals Dealers and Their Owner in Multimillion Dollar Fraud Targeting the Elderly
CFTC Charges 14 Entities for Fraudulently Claiming to be Registered with the Agency
Federal Court Orders Florida Man and His Two Entities to Pay Over $16 Million for Fraud, Misappropriation, and Making False Statements to the CFTC
CFTC Charges New York Resident with Fraud and Misappropriation in Digital Assets Trading Scheme