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
12/14/2023	CFTC Orders Freepoint Commodities LLC to Pay $91 million for Fraudulent Scheme to Misappropriate Material Non-Public Information Order: Freepoint Commodities LLC
11/21/2023	Binance Former Chief Compliance Officer, Samuel Lim, Agrees to Pay $1.5 Million for Willfully Evading U.S. Law, and Aiding and Abetting the Illegal Operation of a Digital Asset Derivatives Exchange, and Other Violations Statement of Commission Caroline D. Pham
11/21/2023	Binance and Its CEO, Changpeng Zhao, Agree to Pay $2.85 Billion for Willfully Evading U.S. Law, Illegally Operating a Digital Asset Derivatives Exchange, and Other Violations Statement of Chairman Rostin Behnam Statement of Commissioner Kristin N. Johnson Statement of Commissioner Christy Goldsmith Romero Statement of Commissioner Caroline D. Pham
11/15/2023	Federal Court Orders Illinois Man and His Entities to Pay Over $20 Million in Restitution and Penalties for Commodity Pool Ponzi Scheme Order: Tyche Asset Management LLC
11/07/2023	CFTC Releases FY 2023 Enforcement Results Addendum: FY 2023 Enforcement Actions
11/06/2023	Federal Court Orders Former New York City Resident to Pay Over $2.6 Million in Monetary Sanctions for Fraudulent Solicitation and Misappropriation in a Commodity Pool Scheme Default Judgment: Mark A. Ramkishun
11/03/2023	CFTC Charges Illinois Man and His Firm for Operating a Fraudulent Retail Forex Commodity Pool Complaint: Coby Young, et al
10/25/2023	CFTC and State Regulators Enter Consent Order with California Precious Metals Dealer in $68 Million Fraud Targeting the Elderly Consent Order: Safeguard Metals LLC, et al
10/23/2023	CFTC Orders Minnesota Grain Merchandiser to Pay $3 Million Penalty for Attempted Manipulation of Oats Futures Prices Order: Ceres Global Ag Corp. Statement of Commissioner Kristin N. Johnson Statement of Commissioner Christy Goldsmith Romero
10/17/2023	CFTC Releases Enforcement Advisory on Penalties, Monitors and Admissions Advisory Regarding Penalties, Monitors and Consultants, and Admissions in CFTC … Statement of Commissioner Christy Goldsmith Romero

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