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
08/29/2018	CFTC Charges Forex Trader and Firm with Fraud and Registration Violations Complaint: Jason Amada & Amada Capital Management LLC
08/29/2018	CFTC Orders BNP Paribas to Pay $90 Million Penalty for Attempted Manipulation and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates Order: BNP Paribas Securities Corp.
08/24/2018	CFTC Wins Trial against Virtual Currency Fraudster Memorandum: Patrick K. McDonnell and Cabbagetech, Corp. d/b/a Drop Markets Final Judgment and Order: Patrick K. McDonnell and Cabbagetech, Corp. d/b/a Dro…
08/10/2018	CFTC Charges Futures Broker with Engaging in Fraudulent Trade Allocation Scheme Order: Christian Robert Mayer
08/02/2018	CFTC Announces Multiple Whistleblower Awards Totaling More than $45 Million No. 18-WB-03 No. 18-WB-04 No. 18-WB-05
07/31/2018	CFTC Sues Forex Dealer for Registration and Disclosure Violations Complaint: JAFX, Ltd. a/k/a JAFX, EOOD
07/30/2018	CFTC Orders R.J. O’Brien & Associates LLC to Pay a $600,000 Civil Monetary Penalty for Supervisory Failures and Violation of a Prior Commission Order Order: R.J. O’Brien & Associates LLC
07/23/2018	Federal Court Orders Commodity Pool Operator and Its Principal to Pay More Than $1.9 Million for Bitcoin and Binary Options Fraud Scheme Order and Default Judgment: Dillon Michael Dean and The Entrepreneurs Headquart…
07/19/2018	Federal Court in District of Columbia Orders “Prediction Market” Companies to Pay $3 Million Civil Monetary Penalty for Illegally Trading Binary Options and Violating a 2005 CFTC Cease and Desist Order Consent Order: Intrade The Prediction Market Limited and Trade Exchange Network… Summary Judgment Order: Intrade The Prediction Market Limited and Trade Exchang… Memorandum Opinion: Intrade The Prediction Market Limited and Trade Exchange Ne…
07/19/2018	Federal Court Orders Estonian Forex Dealer to Pay over $10 Million in Sanctions for Defrauding U.S. Customers and Orders Introducing Broker that Solicited for Dealer to Pay $85,000 Penalty Order of Default Judgment: Tallinex Consent Order: General Trader Fulfillment

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