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 Charges Chicago Commodity Pool Operators, Owner, and Former Chief Portfolio Manager with Fraud and Supervision Failures
CFTC Orders Connecticut Firm to Pay $500,000 for Wash Sales
Federal Court Orders Virginia Resident to Pay More Than $5 Million for Futures and Options Fraud
Federal Court Orders Oregon Owner of Precious Metals Firm to Pay $1.3 Million to Victims of Fraudulent Precious Metals Scheme
CFTC Awards Approximately $3 Million to Whistleblower
CFTC Orders Florida Man and His Company to Pay Over $397,000 in Connection with a Digital Assets Solicitation Scheme
Federal Court Orders The Alista Group, LLC and Florida Man to Pay More Than $2.6 Million in Precious Metals Fraud
Federal Court Orders Nevada Company and its Owner to Pay More Than $32 Million for Cryptocurrency Fraud and Misappropriation Scheme
Federal Court Orders New Mexico Man to Pay Over $10.3 Million for Defrauding Commodity Futures Clients in Long-Running Ponzi Scheme
Federal Court Orders Alabama Company and its Owner to Pay Over $1.1 Million for Commodity Pool Fraud