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
09/27/2018	CFTC Charges Futures Trader with Cross-Exchange Manipulation Order: Davis Ramsey
09/26/2018	CFTC Files Two Enforcement Actions Addressing Attempted Manipulation, Unauthorized Trading, and Fraud
09/26/2018	CFTC Charges Two Commodity Traders with Attempted Manipulation of Agricultural Markets Order: Peter Grady Order: Adam Flavin
09/26/2018	CFTC Orders an Iowa Introducing Broker and Its Principals to Pay $11.9 Million in Restitution to Farmers and a $1.25 Million Civil Monetary Penalty for Fraud, Unauthorized Trading, and False Statements to the CME, Among Other Violations Order: Kooima Kaemingk et.al.
09/26/2018	CFTC Charges Brooklyn Resident Yehuda L. Belsky with Binary Options Fraud, Violating a Prior CFTC Order and Making False Statements to the CFTC Complaint: Yehuda L. Belsky and Y Trading, LLC
09/21/2018	CFTC Finds Mizuho Bank, Ltd. Engaged in Spoofing of Treasury Futures and Eurodollar Futures Order: Mizuho Bank, Ltd.
09/20/2018	CFTC Finds that Proprietary Trading Firm Geneva Trading USA, LLC Engaged in Spoofing Order: Geneva Trading USA, LLC
09/19/2018	CFTC Orders Futures Trader and Trading Firm to Pay $2.3 Million in Penalties for Cross-Market and Single-Market Spoofing and Manipulative Scheme Order: Victory Asset, Inc Order: Michael D. Franko
09/19/2018	CFTC Orders Bank of America, N.A. to Pay $30 Million Penalty for Attempted Manipulation and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates Order: Bank of America, N.A.
09/18/2018	CFTC Orders ICAP Capital Markets LLC to Pay $50 Million Penalty for Aiding and Abetting Attempted Manipulation of U.S. Dollar ISDAFIX Benchmark Swap Rates Order: ICAP Capital Markets LLC n/k/a Intercapital Capital Markets LLC

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