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 Orders Barclays to Pay $115 Million Penalty for Attempted Manipulation of and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates
CFTC Orders Double Eagle Enterprises, LLC and Eric Arlt to Pay More than $700,000 in Restitution and a Civil Monetary Penalty in Precious Metals Enforcement Action
CFTC Orders Libero Commodities SA to Pay $480,000 for Call Cotton Reporting Violations
CFTC Charges United Arab Emirates Residents Heet Khara and Nasim Salim with Spoofing in the Gold and Silver Futures Markets
CFTC Sanctions FCStone, LLC for Supervision Violations
CFTC Charges North Carolina Resident Barry C. Taylor and His Companies with Commodity Pool Fraud in a Multi-Million Dollar Fraudulent Forex Scheme and with Registration Violations
Federal Court Orders California Residents Christopher Valois and Cynthia Wong and Their Companies to Pay over $1.1 Million for Fraud and Registration Violations
Federal Court Orders North Carolina Resident James Harvey Mason to Pay a Civil Penalty and Restitution Totaling $5.5 Million for Commodity Pool Fraud
Federal Court in Florida Orders Restitution, a Civil Monetary Penalty, and Permanent Trading Bans against Inter-Global Currency & Precious Metals and Stavros Papastavrou for Engaging in Illegal, Off-Exchange Precious Metals Transactions
CFTC Charges Nevada-Based My Global Leverage, LLC and Toney Blondo Eggleston with Engaging in Illegal, Off-Exchange Precious Metals Transactions with Retail Customers