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
10/15/2018	Federal Court in New York Orders Kevin Antonovich to Pay $554,375 Judgment for Commodity Pool Fraud Consent Order: Kevin Scott Antonovich
10/12/2018	In CFTC Action, Former Trader Kamaldeep Gandhi Admits to Engaging in Spoofing and Manipulative Schemes at Proprietary Trading Firms Order: Kamaldeep Gandhi
10/11/2018	Federal Court in Chicago Enters $14 Million Judgment against Options Trader for Fraudulent Options Scheme Consent Order: Thomas C. Lindstrom
10/03/2018	CFTC Charges Owner of Precious Metals Firm with Defrauding More than 130 Customers in Precious Metals Scheme Complaint: Aaron Michael Scott
10/03/2018	CFTC Wins Trial against Fraudster in Futures Markets Gregory L. Gramalegui: Findings of Fact, Conclusions of Law, and Orders
10/03/2018	Federal Court Finds that Virtual Currencies Are Commodities Memorandum of Decision: My Big Coin Pay, Inc. et al.
10/01/2018	CFTC Orders the Bank of Nova Scotia to Pay $800,000 Penalty for Spoofing in the Precious Metals Futures Markets Order: The Bank of Nova
09/28/2018	CFTC Charges Interdealer Broker with Fraud Complaint: TFS-ICAP, LLC, TFS-ICAP LTD., IAN DIBB, and Jeremy Woolfenden
09/28/2018	CFTC Charges Chairman of Board of Interdealer Broker with Supervisory Failures Order: Michael Leibowitz
09/28/2018	CFTC Files Three Enforcement Actions Addressing Insider Trading; Forex Fraud; and Fraudulent Solicitation, Impersonation of a CFTC Investigator, and Forging CFTC Documents, All in Attempt to Steal Bitcoin

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