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
10/01/2019	CFTC Orders The Northern Trust Company to Pay $1,000,000 For Swap Reporting Violations Order: The Northern Trust Company
10/01/2019	CFTC Orders Société Générale International Limited to Pay $2.5 Million for Swap Data Reporting and Supervision Failures Order: Societe Generale International Limited
10/01/2019	CFTC Charges HSBC with Reporting Failures and Violation of Risk Management Regulations Order: HSBC Bank USA, N. A.
10/01/2019	CFTC Orders RBC Capital Markets, LLC to Pay $5 Million for Supervisory Failures Resulting in Illegal Trades and Other Violations Order: RBC Capital Markets, LLC
10/01/2019	CFTC Orders Six Financial Institutions to Pay Total of More Than $6 Million for Reporting Failures Order: HSBC Bank USA, N. A. Order: Societe Generale International Limited Order: The Northern Trust Company Order: NatWest Markets Plc, formerly The Royal Bank of Scotland plc Order: The Bank of New York Mellon Order: PNC Bank, National Association
10/01/2019	CFTC Orders Trader to Pay $160,000 for Making Misrepresentations to Futures Commission Merchants Order: Aron Seidenfeld
10/01/2019	CFTC Orders Two Trading Firms, Bank to Pay a Total of $3 Million for Spoofing Order: Morgan Stanley Capital Group Inc. Order: Belvedere Trading LLC Order: Mitsubishi International Corporation
10/01/2019	CFTC Orders Energy Broker and Its Owner to Pay Over $1.5 Million for Misappropriating Confidential Customer Information and Other Violations Order: Classic Energy LLC and Mathew D. Webb
10/01/2019	CFTC Orders CHS, Inc. to Pay $500,000 Penalty for Reporting Violations Complaint: CHS Inc
09/30/2019	CFTC Orders Global Agribusiness to Pay $175,000 for Failure to File Timely Reports Order: Intergrain S.A.

Enforcement Actions

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