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
09/14/2018	CFTC Settles Swap Reporting Charges with Natwest Markets Plc Order: NatWest Markets Plc
09/14/2018	CFTC Orders ABN AMRO Clearing Chicago LLC to Pay a $160,000 Civil Monetary Penalty for Supervisory and Recordkeeping Failures Order: ABN AMRO Clearing Chicago, LLC
09/14/2018	CFTC Orders Company that Provided Swaps and Commodity Options Trading Advice to Eligible Contract Participants to Cease and Desist from Acting as an Unregistered Commodity Trading Advisor Order: Mobius Risk Group LLC
09/14/2018	CFTC Charges Multiple Forex and Binary Options Dealers with Registration Violations Order: Allen Investment Management, LLP, et al. Order: Forex Entourage LLC, et al. Order: Isaac Ticon and HedgeFund4U, LLC Order: Hooley Solutions LLC and Steven Bradley Hooley Order: International Markets Live, Inc. Order: LegionFX LLC Order: The Lion's Share FX, et. al Order: Wealth Generators, LLC
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

Enforcement Actions

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