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
11/22/2019	CFTC Orders BGC Financial, L.P. to Pay $3 Million for Supervision, Reporting, and Recordkeeping Violations BGC Financial LP
11/13/2019	CFTC Charges Unregistered Commodity Pool Operator, Two California Men with $2.3 Million Fraud Complaint: Main & Prospect Capital, LLC, et al.
11/08/2019	CFTC Orders Wells Fargo to Pay Over $14 Million for Violating Swap Dealer Business Conduct Standards Order: Wells Fargo Bank, N.A.
11/07/2019	CFTC Orders Mitsubishi Corporation RtM Japan Ltd. to Pay $500,000 for Spoofing Order: Mitsubishi Corporation RtM
11/07/2019	CFTC Orders Proprietary Trading Firm to Pay Record $67.4 Million for Engaging in a Manipulative and Deceptive Scheme and Spoofing Order: Tower Research Capital LLC Commissioner Behnam Concurrence Commissioner Berkovitz Dissent
11/05/2019	CFTC Charges Denari Capital, LLC and its Owners with $8.3 Million Forex Fraud Complaint: Denair Capital, LLC, Travis Capson, Arnab Sarkar
11/04/2019	CFTC Charges Companies and Associates with Failing to Register with the CFTC Order: Silver Star FX, LLC d/b/a Silver Star Live, et al
11/04/2019	CFTC Charges Alabama Resident and His Company with Binary Options Fraud Complaint: Negus Capital Incorporated
11/01/2019	Federal Court Orders Defendants to Pay More than $4.25 Million for Fraud and Misappropriation Order: Blake Harrison Kantor, et al.
10/31/2019	CFTC Charges Foreign Trading Platform for Failing to Register with the CFTC Order: XBT Corp. SARL d/b/a First Global Credit

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