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
09/29/2021	CFTC Charges 14 Entities for Failing to Register as FCMs or Falsely Claiming to be Registered Complaint and Notice: TradingForexPay Complaint and Notice: Cryptofxtrader Complaint and Notice: Bitfxprofit Complaint and Notice: Globalnationfx Complaint and Notice: BinanceFX Trade Complaint and Notice: MaxForexOption Complaint and Notice: ProCryptoMinners Complaint and Notice: ProFX-Capitals Complaint and Notice: Smarter Signals Complaint and Notice: Prime Expert Trade Complaint and Notice: Star Fx Pro Complaint and Notice: Excotradeoptions Complaint and Notice Climax Capital FX Complaint and Notice: Digitalexchange24.com
09/28/2021	CFTC Imposes A $1.25 Million Penalty against Kraken for Offering Illegal Off-Exchange Digital Asset Trading and Failing to Register as Required Order: Payward Ventures, Inc., et al. Concurring Statement of Commissioner Dawn D. Stump
09/28/2021	CFTC Orders Interactive Brokers LLC to Pay a $1.75 Million Penalty for Supervision Failures Order: Interactive Brokers LLC Concurring Statement of Commissioner Dawn D. Stump
09/28/2021	CFTC Orders Nevada Man and His Company to Pay $374,000 for Fraudulent Solicitation and Misappropriation in Forex Scheme Order: Cody Ryan Porter, et al
09/27/2021	CFTC Imposes $650,000 Penalty Against Refinitiv US SEF LLC for Swap Reporting Failures Order: Refinitiv US SEF LLC
09/27/2021	CFTC Orders Mizuho Capital Markets LLC to Pay $1.5 Million for Swap Portfolio Reconciliation, Other Compliance and Supervision Failures Order: Mizuho Capital Markets LLC
09/27/2021	CFTC Orders Citibank and Citigroup Global Markets Limited to Pay a $1 Million Penalty for Swap Data Reporting Violations, Related Supervision Failures, and Violation of a prior CFTC Order Order: Citibank, N.A., et al
09/22/2021	CFTC Orders Michigan Man to Pay $150,000 for Registration Violation of Commodity Trading Advisor Regulation Order: Brian Mitchell
09/16/2021	CFTC Charges Former Hawaii Resident in Forex and Futures Ponzi Scheme Complaint: Gregory Demetrius Bryant, Jr.
09/15/2021	Federal Court Orders Florida Man to Pay $2.5 Million for Role in Fraudulent Binary Options Scheme Order: Ronald Montano, et al.

Enforcement Actions

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