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
09/26/2018	CFTC Charges Brooklyn Resident Yehuda L. Belsky with Binary Options Fraud, Violating a Prior CFTC Order and Making False Statements to the CFTC Complaint: Yehuda L. Belsky and Y Trading, LLC
09/21/2018	CFTC Finds Mizuho Bank, Ltd. Engaged in Spoofing of Treasury Futures and Eurodollar Futures Order: Mizuho Bank, Ltd.
09/20/2018	CFTC Finds that Proprietary Trading Firm Geneva Trading USA, LLC Engaged in Spoofing Order: Geneva Trading USA, LLC
09/19/2018	CFTC Orders Futures Trader and Trading Firm to Pay $2.3 Million in Penalties for Cross-Market and Single-Market Spoofing and Manipulative Scheme Order: Victory Asset, Inc Order: Michael D. Franko
09/19/2018	CFTC Orders Bank of America, N.A. to Pay $30 Million Penalty for Attempted Manipulation and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates Order: Bank of America, N.A.
09/18/2018	CFTC Orders ICAP Capital Markets LLC to Pay $50 Million Penalty for Aiding and Abetting Attempted Manipulation of U.S. Dollar ISDAFIX Benchmark Swap Rates Order: ICAP Capital Markets LLC n/k/a Intercapital Capital Markets LLC
09/17/2018	CFTC Orders Introducing Broker and Principal to Pay a $300,000 Civil Monetary Penalty for Supervisory and Recordkeeping Failures Order: Global Asset Advisors, LLC
09/17/2018	CFTC Charges Precious Metals Dealer and its Owner with Fraud Complaint: Royal Metals Group, LLC and Chelsea Gless
09/14/2018	CFTC Files 12 Enforcement Actions Addressing Registration, Position Limits, Recordkeeping, Supervision and Reporting
09/14/2018	CFTC Orders Grain Exporter to Pay a Penalty for Violating Soybeans Futures Speculative Position Limits and for Reporting Violations Order: Honouround (HK) International Trade Co. Ltd

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