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

CFTC Orders Three Financial Institutions to Pay Over $50 Million for Swap Reporting Failures and Other Violations
CFTC Orders Goldman Sachs to Pay $3 Million for Supervision Failures and Material Omissions in a Letter to the CFTC’s Division of Enforcement
Foreign Trading Platform Charged with Failure to Register and Supervise Its Anti-Money Laundering Procedures
CFTC Charges Four Individuals and a Seychelles Company with Operating a Fraudulent Digital Assets Trading Scheme and Misappropriation
CFTC Charges Eight Entities for Fraudulently Claiming CFTC Registration
CFTC Charges Florida Man and His Company in Connection with a Foreign Currency Fraudulent Solicitation Scheme
CFTC Orders Interactive Brokers to Pay $20 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods
CFTC Orders a Colorado Commodity Pool Operator and Its Owner to Pay More Than $475,000 for Fraud Violations
CFTC Charges Unregistered Pool Operator and its Owner with $7.1 Million Fraud
The CFTC and California Department of Financial Protection & Innovation Charge Los Angeles Area Precious Metals Dealer in $21 Million Fraudulent Scheme