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
CFTC Sanctions UBS AG $500,000 For Failing to Retain Certain Required Audio Recordings
Federal Court Orders Suffolk New York Man and His Company to Pay $370,000 for Commodity Pool Fraud and Misappropriation
CFTC Charges North Carolina Companies and Their Owners in $1 Million Foreign Currency Fraud and Misappropriation Scheme
CFTC Charges Two Men and Their Companies with Commodity Pool Fraud, Other Violations
CFTC Orders ICE Clear Europe Limited to Pay a $450,000 Civil Monetary Penalty for Violating Customer Protection Regulations
CFTC Orders Cargill to Pay $750,000 for Swap Reporting Failures and Failure to Supervise
CFTC Charges Nigerian and American Citizens Operating as PrimeFX with Forex and Bitcoin Fraud and Misappropriation
CFTC Charges Unregistered Commodity Trading Advisor, its Manager and a Managed Fund with Misappropriation and Fraud
CFTC Orders Société Générale S.A. to Pay $1.5 Million for Mid-Market Mark, Swap Valuation Data and Supervision Failures
CFTC Orders California Company to Pay $100,000 for Failing to Register as a Swap Execution Facility