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.

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CFTC Charges Former Head of International Binary Options Scheme with $10 Million Fraud
CFTC Charges Futures Trader and Industrial Firm with Spoofing in Precious Metals Futures
In CFTC Action, Former Precious Metal Trader Admits to Engaging in Spoofing at Two New York Banks
CFTC Charges Traders at Major U.S. Bank with Manipulating the Precious Metals Futures Markets
CFTC Orders Interdealer Broker to Pay $13 Million for Supervisory Failures and False Statements
CFTC Orders Registrant to Pay $1.5 Million for Violations Related to Cyber Breach
CFTC Orders Chief Compliance Officer of Trading Firm to Pay 150,000 for Fraud and False Statements to a Self-Regulatory Organization
CFTC Charges Trading Systems Firm and its Principal with Solicitation Fraud and False Statements
Merrill Lynch Ordered to Pay $300,000 Penalty for Failing to Promptly Produce Audit Trail Data
CFTC Charges Unregistered Forex Trading Firm and Its Principal with Fraud and Misappropriation