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
05/13/2022	CFTC Charges Long Island Resident and His Firm in Ongoing $59 Million Fraud Scheme Complaint: Eminifx, et al Order: Eminifx, et al
05/10/2022	CFTC Charges California Man and His Companies with Fraud and Misappropriation Complaint: Eshaq M. Nawabi, et al
05/05/2022	Federal Court Orders BitMEX’s Three Co-Founders to Pay a Total of $30 Million for Illegally Operating a Cryptocurrency Derivatives Trading Platform and Anti-Money Laundering Violations Consent Order: Arthur Hayes Consent Order: Benjamin Delo Consent Order: Samuel Reed Statement of Commissioner Johnson Statement of Commissioner Pham
04/27/2022	CFTC Charges Archegos Capital Management and Three Employees with Scheme to Defraud Resulting in Swap Counterparty Losses Over $10 Billion Complaint: Archegos Capital Management, et al Order: William Tomita Order: Scott Becker Statement of Commissioner Caroline D. Pham Regarding Charges Against Archegos C…
04/19/2022	CFTC Wins Jury Verdict in 2020 Commodity Pool Fraud Case
04/14/2022	CFTC Charges Tennessee Trader and Two Entities with Engaging in Cross-Market and Single-Market Spoofing and Manipulative Schemes Complaint: David Skudder
04/13/2022	CFTC Charges Wisconsin Woman and Her Companies with Fraud and Misappropriation Complaint: Kay Yang, et al.
04/08/2022	Federal Court Orders Danish Resident to Pay Over $4.7 Million for Forex Fraud and Misappropriation Order: Casper Mikkelsen Final Judgment: Casper Mikkelsen
04/07/2022	Federal Court Orders Precious Metals Traders to Pay Penalties and Imposes Trading Bans for Spoofing and Engaging in a Deceptive or Manipulative Scheme Final Judgment and Consent Order: James Vorley Final Judgment and Consent Order: Cedric Chanu
04/07/2022	Florida-Based Companies and Their Owner Settle Mid-Trial for $1.8 Million for Fraudulent Forex and Digital Asset Scheme Order: Fintech Investment Group, Inc Consent Agreement: Fintech Investment Group, Inc

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