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
09/07/2023	Federal Court Orders South African Company to Pay Over $1.7 Billion in Restitution for Forex Fraud Order: Mirror Trading International23 Statement of Commissioner Kristin N. Johnson
09/01/2023	CFTC Charges “My Forex Funds” with Fraudulently Taking Over $300 Million From Customers Hoping to Become Professional Traders Order: Traders Global Group Inc et, al Complaint: Traders Global Group Inc et, al
08/29/2023	Federal Court Orders Texas Trading Advisor and Owner to Pay $100,000 Penalty for Registration Violations Consent Order: Ryan Masten, et, al Statement of Commissioner Caroline D. Pham
08/29/2023	CFTC Orders Goldman Sachs to Pay $5.5 Million for Recordkeeping Violations and Violating a Prior Commission Order Order: Goldman Sachs & Co. LLC Concurring Statement of Commissioner Kristin N. Johnson Dissenting Statement of Commissioner Caroline D. Pham
08/23/2023	CFTC Charges Texas Man and His Company with Fraud and Misappropriation Complaint: Cambridge, et al
08/15/2023	CFTC Orders Texas Trading Advisor and His Company to Pay Approximately $250,000 for Fraudulent Solicitation and Failure to Register Order: Peter L. Bryant, et, al
08/11/2023	CFTC Charges Residents of Florida, Louisiana, and Arkansas in Ongoing Cryptocurrency and Precious Metals Fraud Complaint: Fundsz, et, al Order: Fundsz, et al
08/08/2023	CFTC Orders a Los Angeles Futures Commission Merchant to Pay $6 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods Order: Wedbush Securities Inc., et al
08/08/2023	CFTC Orders Four Financial Institutions to Pay Total of $260 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods Order: BNP Paribas S.A., et al Order: Société Générale SA, et al Order: Wells Fargo Bank et, al Order: Bank of Montreal Statement of Commissioner Kristin Johnson Statement of Commissioner Christy Goldsmith Romero
08/07/2023	Federal Court Orders Florida Commodity Pool Operator to Pay Nearly $9 Million in Restitution Consent Order: BLUPRINT LLC, et al Consent order: Kalpana Patel, et al

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