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
11/17/2021	Federal Court Orders Florida Man and Foreign Defendants to Pay $7 Million for Role in Fraudulent Binary Options and Digital Asset Scheme Consent Order: Daniel Fingerhut Consent Order: Digital Platinum, Ltd., Tal Valariola, and Itay Barak
11/08/2021	CFTC Orders United States Commodity Funds LLC to Pay $2.5 Million for Failure to Fully Disclose Information Relating to Trading Limitations to Commodity Pool Participants Order: United States Commodity Funds LLC
10/27/2021	CFTC Charges New Jersey Resident and His Company with Fraudulent Solicitation, Misappropriation, and Violating Consent Order Complaint: Swapnil Rege et al.
10/21/2021	CFTC Awards Nearly $200 Million to a Whistleblower WB Award No. 21-WB-07 Statement of Commissioner Dawn D. Stump
10/20/2021	CFTC Charges El Paso Resident and His Firm in Ongoing $3.9 Million Forex and Cryptocurrency Fraud and Misappropriation Scheme Complaint: Abner Alejandro Tinoco, et al
10/20/2021	CFTC Charges Energy Broker, Its Owners, and Affiliated Firms with Fraud, Unauthorized Trading, and Supervision Violations Complaint: Coquest Inc, et al
10/14/2021	CFTC Sanctions UBS AG $500,000 For Failing to Retain Certain Required Audio Recordings Order: UBS AG
10/12/2021	Federal Court Orders Suffolk New York Man and His Company to Pay $370,000 for Commodity Pool Fraud and Misappropriation Consent Order: Lighthouse Futures, Ltd, et al
10/08/2021	CFTC Charges North Carolina Companies and Their Owners in $1 Million Foreign Currency Fraud and Misappropriation Scheme Storm Bryant, et al. Complaint: Storm Bryant, et al.
10/08/2021	CFTC Charges Two Men and Their Companies with Commodity Pool Fraud, Other Violations Complaint: Purvesh Mankad, et al. Order: Paul C. Ohanian, et al.

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