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
09/12/2019	CFTC Orders Chief Compliance Officer of Trading Firm to Pay 150,000 for Fraud and False Statements to a Self-Regulatory Organization Order: Rafael Marconato
09/10/2019	CFTC Charges Trading Systems Firm and its Principal with Solicitation Fraud and False Statements Complaint: FuturesFX and Simon Jousef
09/10/2019	Merrill Lynch Ordered to Pay $300,000 Penalty for Failing to Promptly Produce Audit Trail Data Merrill Lynch, Pierce, Fenner & Smith Incorporated
09/09/2019	CFTC Charges Unregistered Forex Trading Firm and Its Principal with Fraud and Misappropriation Complaint: Dominick Vincent Carducci and Vos Capital Management, LLC.
09/09/2019	CFTC Orders Registrant to Pay $1.25 Million for Fraud, Unauthorized Trading, and Violating Speculative Position Limits in Live Cattle Futures Order: Nathan Harris
09/04/2019	SEC and CFTC Charge Options Clearing Corp. with Failing to Establish and Maintain Adequate Risk Management Policies The Options Clearing Corporation SEC Press Release
08/12/2019	CFTC Charges International Enterprise with Operating a $103 Million Fraudulent Binary Options Trading Scheme Complaint: Yukom Communications Ltd., et al
08/09/2019	Federal Court Orders Defendants to Pay More Than $2.7 Million in a Forex Fraud Scheme Order Default Judgment: Lucrative Pips Corporation and Kevin Andre Perry
07/31/2019	CFTC Charges Trader with Spoofing in Financial Futures Markets Order: Benjamin Cox
07/29/2019	CFTC Orders Principal of Binary Options Trading Firm to Pay $200,000 for Illegal Off-Exchange Trading and Registration Violations Order: Curtis Dalton (d/b/a Binary International)

Enforcement Actions

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