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.

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View Opinions and Adjudicatory Orders

Date ENFORCEMENT ACTIONS
CFTC Orders Chicago-based Advantage Futures LLC to Pay $395,000 for Supervision Failures
CFTC Orders StoneX Markets LLC to Pay $650,000 for Violations of Swap Business Conduct Standards
CFTC Grants Two Whistleblower Awards Totaling Over $15 Million
CFTC Orders Utah Man to Pay More Than $2.5 Million for Leveraged Bitcoin Fraud and Failure to Register
CFTC Issues Orders Against Operators of Three DeFi Protocols for Offering Illegal Digital Asset Derivatives Trading
CFTC Charges Texas Firm and Head Trader with Spoofing and Engaging in a Manipulative and Deceptive Scheme and Violating a Prior CFTC Order
Federal Court Orders South African Company to Pay Over $1.7 Billion in Restitution for Forex Fraud
CFTC Charges “My Forex Funds” with Fraudulently Taking Over $300 Million From Customers Hoping to Become Professional Traders
Federal Court Orders Texas Trading Advisor and Owner to Pay $100,000 Penalty for Registration Violations
CFTC Orders Goldman Sachs to Pay $5.5 Million for Recordkeeping Violations and Violating a Prior Commission Order