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: Updated Advisory on Self Reporting and Full Cooperation

Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Individuals

Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Companies

Enforcement Advisory: Advisory on Self Reporting and Cooperation for CEA Violations Involving Foreign Corrupt Practices

See CFTC Press Release 7518-17 (January 19, 2017) and
Speech of James McDonald, Director of the Division of Enforcement Commodity Futures Trading Commission Regarding Perspectives on Enforcement: Self-Reporting and Cooperation at the CFTC (September 25, 2017)

Date ENFORCEMENT ACTIONS
CFTC Charges two Louisiana-Based Companies and Cofounder with Multi-Million Dollar Forex Fraud, Failing to Register
Federal Court Orders Precious Metals Dealer, its CEO and President to Pay $49M for Fraudulent Misappropriation Scheme
Federal Court Orders Foreign Trader to Pay $390K for Fictitious Sales Scheme
CFTC Charges Several People and Companies in a $280 Million Ponzi Scheme
CFTC Charges Former CEO of Carbon Credit Project Developer with Fraud Involving Voluntary Carbon Credits
CFTC Charges Oregon Resident and His Corporation with Fraud Related to Leveraged Foreign Currency and Metals, and Failing to Register
CFTC Charges Florida Man with $600,000 Options Fraud
CFTC Orders Taiwanese Firm to Pay $200,000 for Wash Sales
CFTC Orders Two Swap Execution Facilities to Pay $1.3 Million for Swap Data Reporting and Core Principle Violations
CFTC Orders Tradition SEF LLC to Pay $875,000 for System Safeguards Violations and Failing to Provide Records Promptly During CFTC Examination