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
03/21/2023	CFTC Revokes Registrations of Allianz Global Investors US LLC Opinion and Order: Allianz Global Investors US, LLC Notice of Intent: Allianz Global Investors US, LLC Statement of Commissioner Kristin N. Johnson
03/14/2023	Customer Alert Regarding CFTC v. Brisco
03/08/2023	Federal Court Orders Texas Energy Broker, Its Owners, and Affiliated Trading Firms to Pay Nearly $3 Million For Fraud, Trading Against Customers Without Consent and Failure to Supervise Consent Order: Coquest, Inc., et al.
02/28/2023	CFTC Charges FTX Co-Owner with Fraud by Misappropriation and Aiding and Abetting Fraud Related to Digital Asset Commodities Complaint: Nishad Singh Consent Order: Nishad Singh
02/23/2023	CFTC Charges Several People and Companies in a $145 Million Ponzi Scheme Complaint: Marcus Todd Brisco, et al Order: Marcus Todd Brisco, et al
02/22/2023	CFTC Charges Unregistered Commodity Trading Advisor with Fraud, Misappropriation, and Unregistered Commodity Pool Operator with Misappropriation Complaint: Richard Miller, et al.
02/16/2023	CFTC Orders The Options Clearing Corporation to Pay a $5 Million Penalty for Violations of Core Principles and Regulations Related to Operational Risk Management Order: The Options Clearing Corporation
02/16/2023	CFTC Charges California-based Company and Its CEO with Fraudulent Solicitation and Misappropriation of Digital Asset Commodities Complaint: Temurian, et al Statement of Commissioner Kristin N. Johnson
02/13/2023	CFTC Charges Three Puerto Rico Residents and Their Companies with Misappropriating Over $13 Million in Connection with Commodity Pool Ponzi Scheme Complaint: FX Latino, Inc., et al. Statement of Commissioner Kristin N. Johnson
01/10/2023	CFTC Charges Avraham Eisenberg with Manipulative and Deceptive Scheme to Misappropriate Over $110 million from Mango Markets, a Digital Asset Exchange Complaint: Avraham Eisenberg Statement of Commissioner Kristin N. Johnson Statement of Commissioner Caroline D. Pham

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