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
09/27/2022	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
09/22/2022	CFTC Imposes $250,000 Penalty Against bZeroX, LLC and Its Founders and Charges Successor Ooki DAO for Offering Illegal, Off-Exchange Digital-Asset Trading, Registration Violations, and Failing to Comply with Bank Secrecy Act Complaint: Ooki, et al. Order: BZeroX, LLC, et al. Dissenting Statement of Commissioner Summer K. Mersinger
09/22/2022	CFTC Charges Five Entities for Failing to Register as FCMs Complaint and notice: Stockbrokertechniques Ltd Complaint and notice: Cryptostockoptionstrade Ltd Complaint and notice: Global Smart Option Broker Ltd Complaint and notice: Hypertradingoption Ltd Complaint and notice: SprintTrade
09/22/2022	CFTC Orders Two California Precious Metals Companies to Pay Over $1 Million for Fraud, Illegal Offering of Retail Commodity Transactions, and Registration Violations Goldline, Inc., et al.

Enforcement Actions

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