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
08/19/2020	CFTC Orders The Bank of Nova Scotia to Pay $127.4 Million for Spoofing, False Statements, Compliance and Supervision Violations Spoofing Order: The Bank of Nova Scotia False Statements Order: The Bank of Nova Scotia Compliance Order:The Bank of Nova Scotia Addendum: The Bank of Nova Scotia
08/10/2020	CFTC Orders Interactive Brokers LLC to Pay More Than $12 Million for Anti-Money Laundering and Supervision Violations Order: Interactive Brokers
08/05/2020	CFTC Obtains $3.8 Million Fraud Judgment Against Commodity Pool Operator and its Owner Default Judgment: Dominick Vincent Carducci, et al.
08/04/2020	NYMEX and Two Former Employees to Pay $4 Million for Disclosing Material Non-Public Information Consent Order: William Byrnes, et al.
07/27/2020	CFTC Awards Approximately $9 Million to Whistleblower WB Award No. 20-WB-08
07/21/2020	CFTC Announces Whistleblower Awards Totaling More Than $1 Million No. 20-WB-07
07/20/2020	CFTC Orders Florida Company to Pay $75,000 for Registration Violations Order: Southwest Group, LLC
07/16/2020	CFTC Charges Georgia Company and Florida Residents with Precious Metals Fraud and Misappropriation of Nearly $900,000 Complaint: The Alista Group, LLC, et al.
07/13/2020	CFTC Sanctions Two Firms Offering Digital Asset-Based Swaps for Illegal Off-Exchange Trading and Registration Violations Order: Plutus Financial, et al Supporting Statement of Commissioner Dan M. Berkovitz
07/10/2020	Federal Court Orders Defendants to Pay Nearly $1.3 Million in Forex Fraud Scheme Order: Joshua Christian McDonald & Perfection PR Firm LLC

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