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
09/28/2023	The CFTC and California Department of Financial Protection & Innovation Charge Los Angeles Area Precious Metals Dealer in $21 Million Fraudulent Scheme Complaint: Regal Assets LLC
09/27/2023	Miami Federal Court Enters Preliminary Injunction Order Against Certified Public Accountant in Connection with $58 Million Foreign Currency Fraud and Misappropriation Scheme Order: Notus LLC, et al,
09/27/2023	CFTC Charges Mosaic Exchange Limited and Sean Michael with a Fraudulent Solicitation and Digital Asset Commodities Trading Scheme Complaint: Mosaic Exchange LTD, et al Statement of Commissioner Kristin N, Johnson
09/27/2023	CFTC Awards Whistleblower More Than $300,000 No. 23-WB-07
09/27/2023	Federal Court Orders Chinese National to Pay More than $350,000 for Fraudulent Scheme to Trade Against Employer Consent Order: Dichao Xie Statement of Commissioner Caroline D. Pham
09/26/2023	CFTC Charges Florida Man with Forex and Binary Options Fraud and Misappropriation Complaint: Patrick Wonsey, d/b/a One Bell & Associates, Inc.
09/26/2023	CFTC Charges Dallas and Los Angeles Area Precious Metals Dealers in Ongoing Fraud Scheme Garnering Over $7 Million from Retirement Accounts Complaint: Moran Order: Moran Statement of Commissioner Kristin N. Johnson
09/22/2023	CFTC Orders California Resident to Pay $300,000 for a Fictitious Sales Scheme Order: Jie “Elaine” Yu
09/20/2023	CFTC Orders Chicago-based Advantage Futures LLC to Pay $395,000 for Supervision Failures Order: Advantage Futures LLC
09/20/2023	CFTC Orders StoneX Markets LLC to Pay $650,000 for Violations of Swap Business Conduct Standards Order: StoneX Markets LLC

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