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
09/16/2022	Federal Court Orders Defendants to Pay More than $6.6 Million for Defrauding Binary Options Pool Participants Order: Caniff et, al Consent order: Arie Bos
09/08/2022	Federal Court Orders New York Man to Pay Over $800,000 for Commodity Pool Fraud Final Judgment and Consent Order: Kevin Kang, et al
09/06/2022	CFTC Charges Former Trader for Engaging in a Fraudulent Scheme to Mismark U.S. Dollar Interest Rate Derivatives Order: Blaise Brochard Statement of Commissioner Kristin N. Johnson
09/06/2022	CFTC Charges Swap Dealer for Failure to Supervise Valuation Activities on Two Derivatives Trading Desks Order: Natixis Statement of Commissioner Kristin N. Johnson
09/02/2022	Federal Court Orders New Jersey Resident and His Company to Pay Over $5 Million for Fraudulent Solicitation, Misappropriation, and Violation of Trading Prohibition in Prior Consent Order Final Judgment and Consent Order: Swapnil Rege, et al
08/24/2022	CFTC Orders Chicago Trader to Pay $100,000 for Spoofing in Natural Gas and RBOB Futures Order: Eric Schwartz
08/19/2022	CFTC Charges Michigan Commodity Pool Operator and His Company with Sales Solicitation Fraud as Part of a Commodity Pool Scheme Complaint: Andrew M. Middlebrooks, et al.
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 …

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