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
04/23/2020	Federal Court Orders Defendants to Pay Over $1.7 Million to Settle CFTC Enforcement Action Charging Fraud and False Statements Order: FuturesFX, et al
04/17/2020	New York Federal Court Orders Defendants to Pay More Than $595,000 for Forex Solicitation Fraud and Misappropriation Order: Amada Capital Management, et al
04/16/2020	CFTC Charges Florida Man and His Companies in Fraudulent Forex and Digital Asset Scheme Complaint: Fintech Investment Group, Inc. et al.
02/21/2020	CFTC Wins Forex Fraud Trial on Damages and Obtains Monetary Judgment of More than $22.6 Million Final Judgment: Dinar Corp Inc et al Memorandum Opinion: Dinar Corp Inc et al Order re Currency Pallet: Dinar Corp Inc et al
02/20/2020	CFTC Charges Investment Firm and VP with Commodity Pool Fraud Complaint: Winston Reed Investments LLC
02/14/2020	CFTC Charges Unregistered Commodity Pool Operator and Its Principal with Fraud and Misappropriation Complaint: Joshua Christian McDonald, et al.
02/14/2020	CFTC Charges Colorado Resident with Fraud in Digital Asset-Linked Ponzi Scheme Complaint: Venture Capital Investments and Breonna S. Clark, et al
02/13/2020	CFTC Orders Florida Resident and His Company to Pay Over $1 Million for Fraud Order: Matthew White
02/11/2020	CFTC Charges Company and its Principal in $33 Million Fraudulent Digital Asset Scheme Complaint: Michael Ackerman Q3 Holdings
01/27/2020	CFTC Orders Commodity Pool Operator, CEO to Pay More Than $10 Million for Misleading Statements, Supervision Failures Order: Catalyst Capital Advisors Complaint: Edward S. Walczak

Enforcement Actions

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