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
12/03/2020	CFTC Orders Vitol Inc. to Pay $95.7 Million for Corruption-Based Fraud and Attempted Manipulation Order: Vitol Inc.
12/01/2020	CFTC Division of Enforcement Issues Annual Report FY 2020 Division of Enforcement Annual Report
11/04/2020	Federal Court Orders Colorado Company and its Principal to Pay Over $900,000 for Digital Asset and Forex Ponzi Scheme Default Judgment Order: Venture Capital Investments Ltd, et al
10/29/2020	CFTC’s Enforcement Division Issues Staff Guidance on Recognition of Self-Reporting, Cooperation, and Remediation Cooperation Self-reporting and Remediation Recognition Guidance
10/13/2020	Federal Court Orders Affiliate Marketer to Pay More Than $13.8 Million for Binary Options Fraud Order: Peter Szatmari Default Judgment: Peter Szatmari
10/09/2020	Federal Court Orders Pennsylvania Man and His Companies to Pay More Than $1.2 Million in Forex Trading Scheme Complaint: Michael J. Salerno, et al Order: Michael J. Salerno, et al
10/09/2020	CFTC Revokes Registrations of Florida Company and its CEO for Fraud and Related Criminal Conviction Default Order: Phy Capital Investments LLC Order: Phy Capital Investments LLC
10/07/2020	CFTC Charges Wisconsin Firm and its Manager with Registration, Disclosure, and Recordkeeping Violations Complaint: Southwest Services, et al
10/06/2020	CFTC Posts Record-Breaking Enforcement Year
10/02/2020	Federal Court Orders Pennsylvania Man Pay $7.4 Million in Restitution for Multi-Million Dollar Bitcoin Fraud Consent Order: Jon Barry Thompson

Enforcement Actions

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