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 Unregistered Commodity Pool Operator, Two California Men with $2.3 Million Fraud
CFTC Orders Wells Fargo to Pay Over $14 Million for Violating Swap Dealer Business Conduct Standards
CFTC Orders Mitsubishi Corporation RtM Japan Ltd. to Pay $500,000 for Spoofing
CFTC Orders Proprietary Trading Firm to Pay Record $67.4 Million for Engaging in a Manipulative and Deceptive Scheme and Spoofing
CFTC Charges Denari Capital, LLC and its Owners with $8.3 Million Forex Fraud
CFTC Charges Companies and Associates with Failing to Register with the CFTC
CFTC Charges Alabama Resident and His Company with Binary Options Fraud
Federal Court Orders Defendants to Pay More than $4.25 Million for Fraud and Misappropriation
CFTC Charges Foreign Trading Platform for Failing to Register with the CFTC
Florida Federal Court Orders Defendant to Pay More than $2 Million in a Foreign Currency Fraud Scheme