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 Orders The Bank of Nova Scotia to Pay Record $77.4 Million for Spoofing and Making False Statements
CFTC Orders The Bank of Nova Scotia to Pay $127.4 Million for Spoofing, False Statements, Compliance and Supervision Violations
CFTC Orders Interactive Brokers LLC to Pay More Than $12 Million for Anti-Money Laundering and Supervision Violations
NYMEX and Two Former Employees to Pay $4 Million for Disclosing Material Non-Public Information
CFTC Awards Approximately $9 Million to Whistleblower
CFTC Announces Whistleblower Awards Totaling More Than $1 Million
CFTC Orders Florida Company to Pay $75,000 for Registration Violations
CFTC Charges Georgia Company and Florida Residents with Precious Metals Fraud and Misappropriation of Nearly $900,000
CFTC Sanctions Two Firms Offering Digital Asset-Based Swaps for Illegal Off-Exchange Trading and Registration Violations
Federal Court Orders Defendants to Pay Nearly $1.3 Million in Forex Fraud Scheme