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
04/23/2021	CFTC Awards Approximately $3 Million to Whistleblower WB Award No. 21-WB-02
04/20/2021	CFTC Orders Florida Man and His Company to Pay Over $397,000 in Connection with a Digital Assets Solicitation Scheme Order: J Squared Invest LLC, et al.
04/09/2021	Federal Court Orders The Alista Group, LLC and Florida Man to Pay More Than $2.6 Million in Precious Metals Fraud Order: The Alista Group, et al
04/08/2021	Federal Court Orders Nevada Company and its Owner to Pay More Than $32 Million for Cryptocurrency Fraud and Misappropriation Scheme Judgment Form: David Saffron, et al. Final Judgment: David Saffron, et al. Order: David Saffron, et al.
04/08/2021	Federal Court Orders New Mexico Man to Pay Over $10.3 Million for Defrauding Commodity Futures Clients in Long-Running Ponzi Scheme Order: Douglas Lien
04/07/2021	Federal Court Orders Alabama Company and its Owner to Pay Over $1.1 Million for Commodity Pool Fraud Order: Aaron B. Butler, et al
04/06/2021	CFTC Orders New York Man to Pay More than $1 Million for Role in Fraudulent Binary Options Scheme Order: Glenn Olson
03/31/2021	CFTC Charges Washington State Rancher and Feedyard with $233 Million Phantom Cattle Fraud Scheme Complaint: Cody Easterday
03/26/2021	Federal Court Orders UK Man to Pay More Than $571 Million for Operating Fraudulent Bitcoin Trading Scheme Order: Benjamin Reynolds
03/25/2021	CFTC Charges Former Fuel Oil Trader with Manipulating Fuel Oil Benchmark Order: Emilio José Heredia Collado

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