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
11/01/2019	Federal Court Orders Defendants to Pay More than $4.25 Million for Fraud and Misappropriation Order: Blake Harrison Kantor, et al.
10/31/2019	CFTC Charges Foreign Trading Platform for Failing to Register with the CFTC Order: XBT Corp. SARL d/b/a First Global Credit
10/30/2019	Florida Federal Court Orders Defendant to Pay More than $2 Million in a Foreign Currency Fraud Scheme Order: Joshua Gilliland and Chawalit Wongkhiao Report and Recommendation: Allied Markets LLC Order: Allied Markets LLC
10/28/2019	Federal Court Orders Florida Company to Pay More Than $15 Million in Monetary Sanctions for Fraud and Illegal Transactions Final Judgment by Default: Omega Knight 2, LLC, and others Consent Order: Omega Knight 2, LLC Aviv Michael Hen, and Erez Hen
10/24/2019	CFTC Charges Upstream Energy Services with Acting as an Unregistered Futures Commission Merchant Order: Upstream Energy Services, LLC
10/24/2019	CFTC Charges New York Man with Misappropriating Customer Funds Intended for Futures and Forex Trading Complaint: Eyal Alper
10/16/2019	CFTC Charges Nevada Company and its Owner in $11 Million Cryptocurrency Fraud and Misappropriation Scheme Complaint: David Saffron Order: David Saffron Order Unsealing Case: David Staffron
10/15/2019	Federal Court Orders Managed Fund and CEO to Pay More Than $17.2 Million in a Commodities Fraud Scheme Order: Fabio Bretas De Freitas
10/07/2019	CFTC Files Enforcement Actions Against Two Affiliate Marketers for Binary Options Fraud Order: David Sechovicz Complaint: Peter Szatmari
10/02/2019	CFTC Orders Interdealer Brokers to Pay $25 Million for Fraud in FX Options Markets Order: BGC Financial, LP Order: GFI Securities, LLC

Enforcement Actions

Resources

Actions

Sitemap

CFTC Headquarters