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
09/27/2023	Federal Court Orders Chinese National to Pay More than $350,000 for Fraudulent Scheme to Trade Against Employer Consent Order: Dichao Xie Statement of Commissioner Caroline D. Pham
09/26/2023	CFTC Charges Florida Man with Forex and Binary Options Fraud and Misappropriation Complaint: Patrick Wonsey, d/b/a One Bell & Associates, Inc.
09/26/2023	CFTC Charges Dallas and Los Angeles Area Precious Metals Dealers in Ongoing Fraud Scheme Garnering Over $7 Million from Retirement Accounts Complaint: Moran Order: Moran Statement of Commissioner Kristin N. Johnson
09/22/2023	CFTC Orders California Resident to Pay $300,000 for a Fictitious Sales Scheme Order: Jie “Elaine” Yu
09/20/2023	CFTC Orders Chicago-based Advantage Futures LLC to Pay $395,000 for Supervision Failures Order: Advantage Futures LLC
09/20/2023	CFTC Orders StoneX Markets LLC to Pay $650,000 for Violations of Swap Business Conduct Standards Order: StoneX Markets LLC
09/19/2023	CFTC Grants Two Whistleblower Awards Totaling Over $15 Million WB Award No. 23-WB-05 WB Award No. 23-WB-06
09/08/2023	CFTC Orders Utah Man to Pay More Than $2.5 Million for Leveraged Bitcoin Fraud and Failure to Register Order: Jacob Orvidas Statement of Commissioner Christy Goldsmith Romero
09/07/2023	CFTC Issues Orders Against Operators of Three DeFi Protocols for Offering Illegal Digital Asset Derivatives Trading Order: Opyn, Inc., et al Order: ZeroEx, Inc., et al Order: Deridex, Inc., et al Statement of Commissioner Kristin N. Johnson Dissenting Statement of Commissioner Summer K. Mersinger
09/07/2023	CFTC Charges Texas Firm and Head Trader with Spoofing and Engaging in a Manipulative and Deceptive Scheme and Violating a Prior CFTC Order Complaint: Logista Advisors LLC, et al

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