Follow Us:

Strategic Goal Three

Table of Contents >


Strategic Goal Three

Protect the public and market participants through a robust enforcement program.

Photo of a courtroom.

Net Cost: $60.9 Million

Staffing: 202 FTE

The Commission is committed to prosecuting violations of the CEA and Commission regulations to protect market participants and promote market integrity. The Commission investigates and litigates cases that have the greatest impact, whether they are against some of the world's largest financial institutions for attempted manipulation, false reporting, customer fund violations, wash trading, or supervision failures, or against a Ponzi schemer who perpetrates a multi-million dollar scam on the unsuspecting public. As a result of these efforts, the Commission filed 102 enforcement actions in FY 2012. The Commission also opened more than 350 new investigations in FY 2012, among the highest annual count of new investigations in program history. In addition, the DOE obtained orders imposing more than $900 million in sanctions, including orders imposing more than $450 million in civil monetary penalties and directing the payment of more than $450 million in restitution and disgorgement.

Goal Three Key Results

Cases Involving Manipulation, False Reporting, Wash Trades and Position Limits

Cases Involving Customer Funds Safeguards and Supervision Obligations

Cases Involving Ponzi and Other Fraud Schemes, and False Statements to the CFTC

Cooperation with Law Enforcement Partners

Whistleblower Program

Information Technology


< Previous page | Table of Contents | Next Page >