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
12/14/2022	CFTC Obtains Final Judgment Against Michigan Commodity Pool Operator and His Company for a Fraudulent Forex Scheme Order: Welther Oaks LLC, et al
12/13/2022	CFTC Charges Sam Bankman-Fried, FTX Trading and Alameda with Fraud and Material Misrepresentations Complaint: FTX Trading, et al
12/12/2022	CFTC Orders Minnesota Registrant to Pay $550,000 for Cross-Product, Cross-Calendar, and Single-Product Spoofing in Soybean Complex Futures Order: Walleye Capital LLC
12/02/2022	CFTC Amends Its Complaint Against Peter Miller and Omerta Capital LLC to Charge Additional Fraud and False Statements to CME Amended Complaint: Peter Miller, et al
12/01/2022	Federal Court Orders Rhode Island Man to Pay More than $2.8 Million in Restitution for Virtual Currency Fraud Consent Order: Jeremy Spence Statement of Commissioner Kristin N. Johnson
11/16/2022	CFTC Charges Former Energy Broker with Paying Brokerage Kickbacks and Misappropriating Nonpublic Information Order: Lee Tippett Concurring Statement of Commissioner Christy Goldsmith Romero
11/04/2022	CFTC Penalizes and Permanently Bans Texan from Trading and Registration for Virtual Currencies Fraud Order: Jeremy Rounsville Statement of Commissioner Kristin N. Johnson Concurring Statement of Commissioner Christy Goldsmith Romero
11/03/2022	CFTC Recognizes the UK FCA for Cross-Border Enforcement Cooperation
10/25/2022	Federal Court Orders California Man and His Commodity Pool Operator and Introducing Broker to Pay Over $2.3 Million for Commodity Fraud and Making False Statements to the NFA Consent Order: Purvesh Mankad, et al
10/20/2022	CFTC Orders Wisconsin Broker to Pay Over $750,000 for Improper Trade Allocation and Additional Violations Order: Chad Robert Henderson, et al

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