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
11/07/2019	CFTC Orders Proprietary Trading Firm to Pay Record $67.4 Million for Engaging in a Manipulative and Deceptive Scheme and Spoofing Order: Tower Research Capital LLC Commissioner Behnam Concurrence Commissioner Berkovitz Dissent
11/05/2019	CFTC Charges Denari Capital, LLC and its Owners with $8.3 Million Forex Fraud Complaint: Denair Capital, LLC, Travis Capson, Arnab Sarkar
11/04/2019	CFTC Charges Companies and Associates with Failing to Register with the CFTC Order: Silver Star FX, LLC d/b/a Silver Star Live, et al
11/04/2019	CFTC Charges Alabama Resident and His Company with Binary Options Fraud Complaint: Negus Capital Incorporated
11/01/2019	Federal Court Orders Defendants to Pay More than $4.25 Million for Fraud and Misappropriation Order: Blake Harrison Kantor, et al.
10/31/2019	CFTC Charges Foreign Trading Platform for Failing to Register with the CFTC Order: XBT Corp. SARL d/b/a First Global Credit
10/30/2019	Florida Federal Court Orders Defendant to Pay More than $2 Million in a Foreign Currency Fraud Scheme Order: Joshua Gilliland and Chawalit Wongkhiao Report and Recommendation: Allied Markets LLC Order: Allied Markets LLC
10/28/2019	Federal Court Orders Florida Company to Pay More Than $15 Million in Monetary Sanctions for Fraud and Illegal Transactions Final Judgment by Default: Omega Knight 2, LLC, and others Consent Order: Omega Knight 2, LLC Aviv Michael Hen, and Erez Hen
10/24/2019	CFTC Charges Upstream Energy Services with Acting as an Unregistered Futures Commission Merchant Order: Upstream Energy Services, LLC
10/24/2019	CFTC Charges New York Man with Misappropriating Customer Funds Intended for Futures and Forex Trading Complaint: Eyal Alper

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