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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View Opinions and Adjudicatory Orders

Date ENFORCEMENT ACTIONS
CFTC Charges Chinese National with Fraudulent Scheme to Trade Against Employer
CFTC Orders New York-Based Commodity Pool Operator and Commodity Trading Advisor to Pay $400,000 Penalty for Supervision Failures
CFTC Charges Binance and Its Founder, Changpeng Zhao, with Willful Evasion of Federal Law and Operating an Illegal Digital Asset Derivatives Exchange
CFTC Orders Puerto Rico Commodity Pool Operator to Pay $150,000 for Supervision and Reporting Violations
CFTC Revokes Registrations of Allianz Global Investors US LLC
Customer Alert Regarding CFTC v. Brisco
Federal Court Orders Texas Energy Broker, Its Owners, and Affiliated Trading Firms to Pay Nearly $3 Million For Fraud, Trading Against Customers Without Consent and Failure to Supervise
CFTC Charges FTX Co-Owner with Fraud by Misappropriation and Aiding and Abetting Fraud Related to Digital Asset Commodities
CFTC Charges Several People and Companies in a $145 Million Ponzi Scheme
CFTC Charges Unregistered Commodity Trading Advisor with Fraud, Misappropriation, and Unregistered Commodity Pool Operator with Misappropriation