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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Date ENFORCEMENT ACTIONS
CFTC Charges Futures Broker with Engaging in Fraudulent Trade Allocation Scheme
CFTC Announces Multiple Whistleblower Awards Totaling More than $45 Million
CFTC Sues Forex Dealer for Registration and Disclosure Violations
CFTC Orders R.J. O’Brien & Associates LLC to Pay a $600,000 Civil Monetary Penalty for Supervisory Failures and Violation of a Prior Commission Order
Federal Court Orders Commodity Pool Operator and Its Principal to Pay More Than $1.9 Million for Bitcoin and Binary Options Fraud Scheme
Federal Court in District of Columbia Orders “Prediction Market” Companies to Pay $3 Million Civil Monetary Penalty for Illegally Trading Binary Options and Violating a 2005 CFTC Cease and Desist Order
Federal Court Orders Estonian Forex Dealer to Pay over $10 Million in Sanctions for Defrauding U.S. Customers and Orders Introducing Broker that Solicited for Dealer to Pay $85,000 Penalty
CFTC Announces First Whistleblower Award to a Foreign Whistleblower
CFTC Orders Commodity Trading Firm to Pay $3.4 Million Penalty for Attempted Manipulation of Agricultural Markets
CFTC Announces Its Largest Ever Whistleblower Award of Approximately $30 Million