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
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
03/29/2022	Court Finds El Paso Man and His Firm Liable for Defrauding Forex and Cryptocurrency Clients of More Than $7.2 Million Consent Order: Abner Alejandro Tinoco, et al.
03/28/2022	CFTC Awards Approximately $625,000 to Four Whistleblowers No. 22-WB-04
03/22/2022	Federal Court Orders Chicago-area Trader and His Company to Pay $377,000 for Forex and Commodity Fraud Consent Order: Dro Kholamian, et al.
03/22/2022	Federal Court Orders Tennessee and Kentucky Men and Their Company to Pay Over $5 Million for Commodity Futures Pool Fraud Summary Judgment Phelps Default Judgment Maverick and Castenir Report and Recommendation for Default Order Maverick and Castenir
03/18/2022	CFTC Awards Approximately $10 Million to a Whistleblower No. 22-WB-03
03/15/2022	CFTC Orders London-Based Swap Dealer to Pay $3.25 Million for Swap-Data Reporting, Conflicts of Interest, Mid-Market Mark, and Supervision Failures Order: ED&F Man Capital Markets, Ltd.
03/10/2022	CFTC Awards Approximately $500,000 to Two Whistleblowers No. 22-WB-02
03/08/2022	CFTC Charges Four Operators for $44 Million Bitcoin Ponzi and Misappropriation Schemes Complaint: Dwayne Golden, et al. Statement of Commissioner Dawn D. Stump

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