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
08/17/2021	CFTC Charges Unregistered Michigan Forex Firm and its Owner with Fraud and Misappropriation Complaint: Ali R. Bazzi and Welther Oaks LLC
08/17/2021	CFTC Charges Nebraska Commodity Pool Operator and its Owner with Fraud and Regulatory Violations Complaint: Michael Svejda, et al
08/13/2021	CFTC Orders Tyson Foods to Pay $1.5 Million for Position Limit, Reporting, and Recordkeeping Violations Order: Tyson Foods, Inc.
08/10/2021	Federal Court Orders BitMEX to Pay $100 Million for Illegally Operating a Cryptocurrency Trading Platform and Anti-Money Laundering Violations Consent Order: HDR Global Trading Limited, et al Commissioner Berkovitz Statement
08/10/2021	Federal Court Orders Texas and Florida Men to Pay Nearly $1.75 Million in Digital Assets Scheme Consent Order: Castaneda, et al Consent Order: Maldonado, et al
07/22/2021	U.S. Court of Appeals Rules in Favor of CFTC in Fraud Case Against Monex Deposit Company and its Principals Memorandum Opinion: Monex Credit Company, et al.
07/09/2021	Federal Court Permanently Bans and Imposes an over $300,000 Penalty Against Foreign Trading Platform for Offering Illegal Leveraged Transactions in Ether, Litecoin, Bitcoin and Precious Metals Default Judgement Order: PaxForex
07/08/2021	Georgia Man Sanctioned for Fraudulent Scheme Attempting to Profit from COVID-19 Memorandum Opinion and Order: Kenzley Ramos, et al. Final Judgment: Kenzley Ramos, et al.
07/01/2021	CFTC Charges Three Individuals and Three Florida Companies with Fraud in Multimillion-Dollar Precious Metals Scheme Complaint: Ross Baldwin, et al.
06/25/2021	CFTC Orders Three Credit Suisse Entities to Pay $1.5 Million for Swap Data Reporting Failure Order: Credit Suisse International, et al.

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