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 Forex Trading Firm and Its Principal with Fraud and Misappropriation
CFTC Announces $6 Million Whistleblower Award
CFTC Orders UK Company to Pay Over $490,000 for Registration and Supervision Violations
CFTC Obtains $700,000 Judgment Against New York Man in Fraud and Misappropriation Scheme
CFTC Charges Kentucky Man in Multi-Million Dollar Fraud Scheme
CFTC Charges Danish Man in $1.5 Million Forex Fraud Scheme
CFTC Seeks to Revoke Registrations of Commodity Pool Operator and its CEO
CFTC Files Charges in $20 Million International Binary Options and Digital Asset Fraud Scheme
CFTC Orders Trader and His Firm to Pay $150,000 for Wash Sales
CFTC Awards More Than $2 Million to Four Whistleblowers