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
CFTC Announces Its Largest Ever Whistleblower Award of Approximately $30 Million
CFTC Charges Operator of Commodity Trading Fund with Defrauding Fund Participants
Federal Court in Nevada Orders Commodity Futures Software Vendor to Pay More than $674,000 for Solicitation Fraud and Failing to Register with the CFTC
Federal Court Orders Jody Dupont of Anderson, South Carolina, and His Company, Open Range Trading LLC, to Pay $192,000 for Defrauding Customers in Connection with Offering and Selling Futures Trading System
CFTC Orders JPMorgan Chase Bank, N.A. to Pay $65 Million Penalty for Attempted Manipulation of U.S. Dollar ISDAFIX Benchmark Swap Rates
CFTC Charges Omega Knight 2, LLC, Aviv Michael Hen, and Erez Hen with $5.5 Million Precious Metals Fraud
Federal Court Orders Jamal Y. Vance and His Company All City Investments, LLC to Pay over $770,000 in Penalties for Solicitation Fraud and Failure to Register as a Commodity Trading Advisor
CFTC Charges Florida-Based Mark Olsen Mining Company and Betty Lea Grimes with Engaging in Illegal, Off-Exchange Precious Metals Transactions
CFTC Orders Société Générale S.A. to Pay $475 Million Penalty to Resolve Charges of Manipulation, Attempted Manipulation, and False Reporting of LIBOR and Euribor
CFTC Orders X-Change Financial Access LLC to Pay a $150,000 Civil Monetary Penalty for Supervisory and Recordkeeping Failures