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
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)
07/26/2019	Ninth Circuit Rules in Favor of CFTC in Fraud Case Against Monex Deposit Company and its Principals
07/25/2019	In CFTC Actions, Two Former Precious Metals Traders Admit To Engaging in Spoofing and Manipulation at New York Banks Order: Corey D. Flaum Order: John Edmonds
07/19/2019	Federal Court Orders Defendant to Pay More Than $2.9 Million in Connection with a Social Media-Based Forex Fraud Scheme Final Judgment: Kelvin Oscar Ramirez
07/18/2019	CFTC Orders Former Hedge Fund Portfolio Manager to Pay More than $700,000 in Monetary Sanctions for Fraudulently Mismarking Swaps Order: Swapnil Rege
07/12/2019	CFTC Files and Settles Enforcement Actions Against Two Futures Commission Merchants and an Introducing Broker Arising from Unauthorized Trading and Improper Bunched Orders Dean Katzelis and Shahin Maleki d/b/a Essex Futures Vision Financial Markets LLC ADM Investor Services Inc
07/12/2019	CFTC Orders ADM Investor Services Inc. to Pay a $250,000 Penalty to Settle Charges that it Failed to Supervise Its Employees Order: ADM Investor Services, Inc.

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