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

Date ENFORCEMENT ACTIONS
CFTC Seeks to Revoke Registrations of Commodity Trading Advisor and Its Principal and Associated Person
CFTC Orders Wisconsin Resident and Company to Pay Over $190,000 for Failing to Register as an Introducing Broker and Other Violations
CFTC Orders Texas Commodity Trading Advisor to Pay $200,000 for Failing to Register as a Swap Execution Facility
CFTC Orders California Trader and Prop Firm to Pay $750,000 for Spoofing in Treasury Futures
CFTC Orders Two Chinese Companies to Pay $720,000 for Wash Trading, Position Limit Violations, and Reporting Failures
CFTC Charges New York Introducing Broker with Failing to Maintain Required Audio Recordings
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
CFTC Charges Five Entities for Failing to Register as FCMs
CFTC Orders Two California Precious Metals Companies to Pay Over $1 Million for Fraud, Illegal Offering of Retail Commodity Transactions, and Registration Violations
Federal Court Orders Defendants to Pay More than $6.6 Million for Defrauding Binary Options Pool Participants