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
08/16/2022	CFTC Wins $7.49 Million Jury Verdict in Texas Broker Trading Case Final Judgment: EOX Holdings, LLC, et al.
08/05/2022	CFTC Charges Nevada Metals Trader with Spoofing in Gold and Silver Markets Complaint: Daniel Lawrence Shak
07/19/2022	CFTC Orders Powerline Petroleum, LLC to Pay $875,000 For Fraud, False Statements to CME, and Failure to Register as a Commodity Trading Advisor Powerline Petroleum LLC, et al. Dissenting Statement of Commissioner Summer K. Mersinger Regarding Enforcement …
07/18/2022	Federal Court Orders Texas Man to Pay Over $290,000 for Manipulative and Deceptive Digital Asset Pump-and-Dump Scheme Consent order: Jimmy Gale Watson, et al Statement of Commissioner Kristin N. Johnson
07/15/2022	Federal Court Imposes Over $29 Million in Restitution and Penalties Against California and Colorado Residents for Binary Options and Forex Fraud, Registration Violations, and Failure to Comply with Commodity Pool Operator Regulations Findings and Recommendations: Financial Tree, et al. Order and Judgment: Financial Tree, et al.
07/14/2022	CFTC Adds 34 Unregistered Foreign Entities to RED List Commissioner Kristin N. Johnson Statement
07/07/2022	Federal Court Orders Texas Unregistered Commodity Pool Operator to Pay More Than $13 Million for Commodity Fraud Supplemental Consent Order: David Seibert, et al
07/05/2022	CFTC Orders J.P. Morgan to Pay $850,000 for Swap Reporting Failures Order: JP Morgan, et al. Commissioner Christy Goldsmith Romero Statement
07/05/2022	CFTC Orders Swap Dealer to Pay $6 Million for Swap Reporting and Daily Mark Disclosure Violations Order: BNP Paribas Commissioner Christy Goldsmith Romero Statement Commissioner Caroline D. Pham Statement
06/30/2022	CFTC Charges Commodity Pool Operators and a Florida Company with Fraudulently Solicitating Over $41.6 Million in a Commodity Pool Scheme Complaint: Empires Consulting Corp., et al Commissioner Kristin N. Johnson Statement

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