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
03/28/2023	CFTC Charges Chinese National with Fraudulent Scheme to Trade Against Employer Complaint: Dichao Xie
03/28/2023	CFTC Orders New York-Based Commodity Pool Operator and Commodity Trading Advisor to Pay $400,000 Penalty for Supervision Failures Order: BBL Commodities LP
03/27/2023	CFTC Charges Binance and Its Founder, Changpeng Zhao, with Willful Evasion of Federal Law and Operating an Illegal Digital Asset Derivatives Exchange Complaint: Binance Holdings Limited et, al Statement of Commissioner Kristin N. Johnson
03/21/2023	CFTC Orders Puerto Rico Commodity Pool Operator to Pay $150,000 for Supervision and Reporting Violations Order: DARMA LLC
03/21/2023	CFTC Revokes Registrations of Allianz Global Investors US LLC Opinion and Order: Allianz Global Investors US, LLC Notice of Intent: Allianz Global Investors US, LLC Statement of Commissioner Kristin N. Johnson
03/14/2023	Customer Alert Regarding CFTC v. Brisco
03/08/2023	Federal Court Orders Texas Energy Broker, Its Owners, and Affiliated Trading Firms to Pay Nearly $3 Million For Fraud, Trading Against Customers Without Consent and Failure to Supervise Consent Order: Coquest, Inc., et al.
02/28/2023	CFTC Charges FTX Co-Owner with Fraud by Misappropriation and Aiding and Abetting Fraud Related to Digital Asset Commodities Complaint: Nishad Singh Consent Order: Nishad Singh
02/23/2023	CFTC Charges Several People and Companies in a $145 Million Ponzi Scheme Complaint: Marcus Todd Brisco, et al Order: Marcus Todd Brisco, et al
02/22/2023	CFTC Charges Unregistered Commodity Trading Advisor with Fraud, Misappropriation, and Unregistered Commodity Pool Operator with Misappropriation Complaint: Richard Miller, et al.

Enforcement Actions

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