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
09/29/2022	CFTC Orders Designated Contract Market to Pay $6.5 Million for System Safeguard, Reporting, and False Statement Violations Order: CX Futures Exchange, L.P.
09/29/2022	CFTC Orders Futures Commission Merchant to Pay $500,000 for Supervision Failures Relating to Improper or Fictitious Trade Transfer Requests Order: ADM Investor Services, Inc.
09/29/2022	CFTC Orders tpSEF to Pay $850,000 for Violation of 15-Second Delay Rule for Execution of Cross Transactions on a SEF Order: tpSEF, Inc.
09/27/2022	CFTC Orders 11 Financial Institutions to Pay Over $710 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods Order: UBS AG, UBS Financial Services, Inc., et al Order: Credit Suisse International, et al Order: Nomura Global Financial Products, Inc., et al. Order: Goldman Sachs & Co., et al. Order: Deutsche Bank AG, et al Order: Citibank, N.A., et al. Order: Cantor Fitzgerald & Co. Order: Morgan Stanley & Co. LLC. et al Order: Jefferies Financial Services, Inc. et al. Order: Barclays Bank PLC, et al Order: Bank of America, et al Statement of Commissioner Kristin N. Johnson Statement of Commissioner Christy Goldsmith Romero
09/27/2022	CFTC Seeks to Revoke Registrations of Commodity Trading Advisor and Its Principal and Associated Person Notice of Intent: Fintech Investment Group, Inc., et al.
09/26/2022	CFTC Orders Wisconsin Resident and Company to Pay Over $190,000 for Failing to Register as an Introducing Broker and Other Violations Order: Jason Gospodarek, et al.
09/26/2022	CFTC Orders Texas Commodity Trading Advisor to Pay $200,000 for Failing to Register as a Swap Execution Facility Order: Asset Risk Management, LLC
09/26/2022	CFTC Orders California Trader and Prop Firm to Pay $750,000 for Spoofing in Treasury Futures Order: Randy Chen Order: Tanius Technology, LLC
09/23/2022	CFTC Orders Two Chinese Companies to Pay $720,000 for Wash Trading, Position Limit Violations, and Reporting Failures Order: COFCO Corp, et al
09/23/2022	CFTC Charges New York Introducing Broker with Failing to Maintain Required Audio Recordings Order: XP Investments US, LLC

Enforcement Actions

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