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
U.S. Commodity Futures Trading Commission Files Fraud Action against Florida Foreign Currency Firm, Its Owner, and Futures Commission Merchant
New York Federal Court Judgment Concludes Multi-Million Dollar Foreign Currency (Forex) Fraud Action Brought by the U.S. Commodity Futures Trading Commission
Nine Defendants from “Operation Wooden Nickel” Ordered to Pay Restitution, Return Ill-Gotten Gains, and Pay Fines Totaling More Than $14,000,000
U.S. Commodity Futures Trading Commission Revokes the Registration of Florida Corporation Worldwide Commodity Corporation and its Successor, South Coast Commodities, Inc.
Government Obtains Judgment against Two New York Investment Firms
Government Charges Texas Man and his Investment Company with Defrauding Customers in Connection with Internet Solicitations
Notice To Customers Of Forefront Investments Corp. D/B/A/ CFG Trader
U.S. Commodity Futures Trading Commission Files Action Against Futures Commission Merchant Forefront Investments Corporation d/b/a CFG Trader For Failure to Maintain the Minimum Amount of Net Capital Required by Federal Law
U.S. Commodity Futures Trading Commission Files Four Cases and Charges Nine Entities for Fraudulently Soliciting Investors Worldwide
New York Federal Court Orders Brokerage Firm, Clearing Firms, and Principals in CFTC Anti-Fraud Action to Pay More Than $21,000,000 in Restitution and Civil Penalties