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
10/01/2019	CFTC Orders Six Financial Institutions to Pay Total of More Than $6 Million for Reporting Failures Order: HSBC Bank USA, N. A. Order: Societe Generale International Limited Order: The Northern Trust Company Order: NatWest Markets Plc, formerly The Royal Bank of Scotland plc Order: The Bank of New York Mellon Order: PNC Bank, National Association
10/01/2019	CFTC Orders Trader to Pay $160,000 for Making Misrepresentations to Futures Commission Merchants Order: Aron Seidenfeld
10/01/2019	CFTC Orders Two Trading Firms, Bank to Pay a Total of $3 Million for Spoofing Order: Morgan Stanley Capital Group Inc. Order: Belvedere Trading LLC Order: Mitsubishi International Corporation
10/01/2019	CFTC Orders Energy Broker and Its Owner to Pay Over $1.5 Million for Misappropriating Confidential Customer Information and Other Violations Order: Classic Energy LLC and Mathew D. Webb
10/01/2019	CFTC Orders CHS, Inc. to Pay $500,000 Penalty for Reporting Violations Complaint: CHS Inc
09/30/2019	CFTC Orders Global Agribusiness to Pay $175,000 for Failure to File Timely Reports Order: Intergrain S.A.
09/30/2019	CFTC Charges Former Floor Broker with Misappropriating Client Funds, Registration Violations, and Making False Statements Order: Coby Tresner
09/30/2019	CFTC Charges Former Registrant with Making False and Misleading Statements During a CFTC Investigation Order: Rafael Novales
09/30/2019	CFTC Charges Three Individuals with Fraudulently Soliciting U.S. Customers in Binary Options Scheme Order: Liora Welles Order: Yair Hadar Order: Shira Uzan
09/30/2019	CFTC Orders Chicago Trading Firm and Its Co-Founder to Pay $2.5 Million in Penalties for Spoofing and Manipulative Trading Scheme Order: Hard Eight Futures, LLC Order: Igor Chernomzav

Enforcement Actions

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