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
09/23/2022	CFTC Charges New York Introducing Broker with Failing to Maintain Required Audio Recordings Order: XP Investments US, LLC
09/22/2022	CFTC Imposes $250,000 Penalty Against bZeroX, LLC and Its Founders and Charges Successor Ooki DAO for Offering Illegal, Off-Exchange Digital-Asset Trading, Registration Violations, and Failing to Comply with Bank Secrecy Act Complaint: Ooki, et al. Order: BZeroX, LLC, et al. Dissenting Statement of Commissioner Summer K. Mersinger
09/22/2022	CFTC Charges Five Entities for Failing to Register as FCMs Complaint and notice: Stockbrokertechniques Ltd Complaint and notice: Cryptostockoptionstrade Ltd Complaint and notice: Global Smart Option Broker Ltd Complaint and notice: Hypertradingoption Ltd Complaint and notice: SprintTrade
09/22/2022	CFTC Orders Two California Precious Metals Companies to Pay Over $1 Million for Fraud, Illegal Offering of Retail Commodity Transactions, and Registration Violations Goldline, Inc., et al.
09/16/2022	Federal Court Orders Defendants to Pay More than $6.6 Million for Defrauding Binary Options Pool Participants Order: Caniff et, al Consent order: Arie Bos
09/08/2022	Federal Court Orders New York Man to Pay Over $800,000 for Commodity Pool Fraud Final Judgment and Consent Order: Kevin Kang, et al
09/06/2022	CFTC Charges Former Trader for Engaging in a Fraudulent Scheme to Mismark U.S. Dollar Interest Rate Derivatives Order: Blaise Brochard Statement of Commissioner Kristin N. Johnson
09/06/2022	CFTC Charges Swap Dealer for Failure to Supervise Valuation Activities on Two Derivatives Trading Desks Order: Natixis Statement of Commissioner Kristin N. Johnson
09/02/2022	Federal Court Orders New Jersey Resident and His Company to Pay Over $5 Million for Fraudulent Solicitation, Misappropriation, and Violation of Trading Prohibition in Prior Consent Order Final Judgment and Consent Order: Swapnil Rege, et al
08/24/2022	CFTC Orders Chicago Trader to Pay $100,000 for Spoofing in Natural Gas and RBOB Futures Order: Eric Schwartz

Enforcement Actions

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