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: New Division of Enforcement Policy on Cooperation

Date ENFORCEMENT ACTIONS
CFTC Secures Court Order Directing Florida Man to Pay Over $6 Million for Options Fraud and Imposing Trading Bans
CFTC Grants Multiple Whistleblower Awards Totaling Over $150 Million
CFTC Secures Court Orders Directing Texas and Florida Residents to Pay Over $500,000 in Disgorgement and Civil Monetary Penalties and Imposing Trading Bans for Commodity Pool Fraud
CFTC Resolves Action Against Swaps Trader for Making False Statements
CFTC Orders Gabriel Perez to Pay $172,000 for Insider Trading of Mention Market Event Contracts
CFTC Resolves Actions Against Former Alameda CEO, and Alameda and FTX Co-Founder
CFTC Charges Goliath Ventures Inc. and CEO with $400 Million Fraud Scheme
CFTC Orders UBS Financial Services Inc. to Pay $8 Million for Supervision Failures Impacting Its AML Transaction Monitoring Systems
CFTC Orders George Santos to Pay $35,000 for Manipulative Trading of State-of-the-Union Event Contract
CFTC Charges North Carolina Commodity Pool Operator and His Company with Fraud