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
CFTC Orders Canadian Imperial Bank of Commerce to Pay $1.25 Million for Untimely Swaps Reporting
CFTC Charges Four Entities for Failing to Register as FCMs
CFTC Orders Canadian Imperial Bank of Commerce to Pay $30 Million for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved Communication Methods
CFTC Announces Four Orders Granting Whistleblower Awards – Marking the Most in a Single Day
CFTC Orders Illinois Futures Commission Merchant to Pay More Than $980,000 for Supervision Failures
CFTC Orders Piper Sandler to Pay $2 Million for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved Communication Methods
Federal Court Orders New York Man to Pay Over $36 Million for Forex and Digital Asset Fraud
CFTC Charges Unregistered Florida Commodity Pool Operator and Its Chief Executive Officer with Futures Fraud
Federal Court Orders Israeli Man to Disgorge $7 Million in Gains from Fraudulent Binary Options Scheme
CFTC Issues Order Against Uniswap Labs for Offering Illegal Digital Asset Derivatives Trading