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
10/01/2018	CFTC Orders the Bank of Nova Scotia to Pay $800,000 Penalty for Spoofing in the Precious Metals Futures Markets Order: The Bank of Nova
09/28/2018	CFTC Charges Interdealer Broker with Fraud Complaint: TFS-ICAP, LLC, TFS-ICAP LTD., IAN DIBB, and Jeremy Woolfenden
09/28/2018	CFTC Charges Chairman of Board of Interdealer Broker with Supervisory Failures Order: Michael Leibowitz
09/28/2018	CFTC Files Three Enforcement Actions Addressing Insider Trading; Forex Fraud; and Fraudulent Solicitation, Impersonation of a CFTC Investigator, and Forging CFTC Documents, All in Attempt to Steal Bitcoin
09/28/2018	CFTC Charges Two Defendants with Fraudulent Solicitation, Impersonation of a CFTC Investigator, and Forging CFTC Documents, All in Attempt to Steal Bitcoin Complaint: Morgan Hunt
09/28/2018	CFTC Charges Georgia-Based Company and Its Chief Executive with Forex Fraud Involving Thirty Customers Complaint: Lucrative Pips Corporation and Kevin Perry
09/28/2018	CFTC Charges Block Trade Broker with Insider Trading Complaint: EOX Holdings LLC and Andrew Gizienski
09/27/2018	CFTC Charges Trading Platform with Illegal Transactions Margined in Bitcoin, Failing to Implement Procedures to Prevent Money-Laundering, and Failing to Register with the CFTC Complaint: 1POOL LTD. and PATRICK BRUNNER Trust Company Complex, Ajeltake Road,…
09/27/2018	CFTC Files Nine Enforcement Actions Addressing Fraudulent Binary Options Solicitations and One Addressing Cross-Exchange Manipulation
09/27/2018	CFTC Charges Eleven Individuals and Five Entities in Nationwide Binary Options Fraud Ring Complaint: Timothy Joseph Atkinson, Jay Passerino, All In Publishing, LLC, & Ga… Complaint: Ronald Montano, Montano Enterprises, LLC, & Michael Wright Order: Grayson Brookshire Order: Antonio Giacca Order: Travis Stephenson Order: Justin Blake Barrett Order: Shmuel Pollen, Aka Mike Williams Order: William Earl Berry and Berry Media Works Order: Martin Schranz and GSD Master Ag

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