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
Federal Court Orders New York Man to Pay Over $800,000 for Commodity Pool Fraud
CFTC Charges Former Trader for Engaging in a Fraudulent Scheme to Mismark U.S. Dollar Interest Rate Derivatives
CFTC Charges Swap Dealer for Failure to Supervise Valuation Activities on Two Derivatives Trading Desks
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
CFTC Orders Chicago Trader to Pay $100,000 for Spoofing in Natural Gas and RBOB Futures
CFTC Charges Michigan Commodity Pool Operator and His Company with Sales Solicitation Fraud as Part of a Commodity Pool Scheme
CFTC Wins $7.49 Million Jury Verdict in Texas Broker Trading Case
CFTC Charges Nevada Metals Trader with Spoofing in Gold and Silver Markets
CFTC Orders Powerline Petroleum, LLC to Pay $875,000 For Fraud, False Statements to CME, and Failure to Register as a Commodity Trading Advisor
Federal Court Orders Texas Man to Pay Over $290,000 for Manipulative and Deceptive Digital Asset Pump-and-Dump Scheme