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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View Opinions and Adjudicatory Orders

Date ENFORCEMENT ACTIONS
CFTC Files and Settles Enforcement Actions Against Two Futures Commission Merchants and an Introducing Broker Arising from Unauthorized Trading and Improper Bunched Orders
CFTC Orders ADM Investor Services Inc. to Pay a $250,000 Penalty to Settle Charges that it Failed to Supervise Its Employees
CFTC Orders Vision Financial Markets LLC to Pay a $200,000 Penalty to Settle Charges that It Failed To Supervise Its Employees
CFTC Orders Dean Katzelis and Shahin Maleki d/b/a Essex Futures to Pay a $500,000 Penalty to Settle Charges of Unauthorized Options Trading, Failure to Supervise, and Other Violations
CFTC Issues Order Finding that Korea Exchange, Inc. Made a False and Misleading Certification to the CFTC
Federal Court Permanently Enjoins Defendants and Orders Them to Pay Penalties and Restitution for Bitcoin Solicitation Fraud, Impersonating a CFTC Investigator, and Sending Forged CFTC Documents
CFTC Charges Hedge Fund with Violating Wheat Futures Speculative Position Limits
CFTC Grants DCO Registration to Eris Clearing, LLC
CFTC Announces $2 Million Award to Joint Whistleblowers
CFTC Orders Commodity Trading Firm to Pay Penalty for Wash Sales and Improve its Internal Controls