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
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
10/12/2023	CFTC Awards Whistleblower Over $18 Million No. 24-WB-01
10/12/2023	CFTC Charges Former Chief Executive Officer of Digital Asset Platform with Fraud in Massive Commodity Pool Scheme Complaint: Stephen Ehrlich Statement of Commissioner Kristin N. Johnson Statement of Commissioner Caroline D. Pham
10/06/2023	CFTC Charges Trading Firm, CEO, and COO with $5 Million Forex Commodity Pool Scheme Complaint: Technical Trading Team, LLC, et al
09/29/2023	CFTC Orders Three Financial Institutions to Pay Over $50 Million for Swap Reporting Failures and Other Violations Order: Goldman Sachs & Co. LLC Order: Bank of America, N.A. and Merrill Lynch International Order: JPMorgan Chase Bank, N.A., et al. Statement of Commissioner Kristin N. Johnson Concurring Statement of CFTC Commissioner Christy Goldsmith Romero on Goldman S… Statement of Commissioner Christy Goldsmith Romero Statement of CFTC Commissioner Christy Goldsmith Romero on Bank of America, etc.
09/29/2023	CFTC Orders Goldman Sachs to Pay $3 Million for Supervision Failures and Material Omissions in a Letter to the CFTC’s Division of Enforcement Goldman Sachs & Co. LLC
09/29/2023	Foreign Trading Platform Charged with Failure to Register and Supervise Its Anti-Money Laundering Procedures Order: LYFE S.A. Statement of Commissioner Christy Goldsmith Romero

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