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
10/08/2021	CFTC Charges North Carolina Companies and Their Owners in $1 Million Foreign Currency Fraud and Misappropriation Scheme Storm Bryant, et al. Complaint: Storm Bryant, et al.
10/08/2021	CFTC Charges Two Men and Their Companies with Commodity Pool Fraud, Other Violations Complaint: Purvesh Mankad, et al. Order: Paul C. Ohanian, et al.
10/06/2021	CFTC Orders ICE Clear Europe Limited to Pay a $450,000 Civil Monetary Penalty for Violating Customer Protection Regulations Order: ICE Clear Europe Limited
09/30/2021	CFTC Orders Cargill to Pay $750,000 for Swap Reporting Failures and Failure to Supervise Order: Cargill, Inc.
09/30/2021	CFTC Charges Nigerian and American Citizens Operating as PrimeFX with Forex and Bitcoin Fraud and Misappropriation Complaint: Uduakobong Udo Inyangudo
09/29/2021	CFTC Charges Unregistered Commodity Trading Advisor, its Manager and a Managed Fund with Misappropriation and Fraud Complaint: Tradewale LLC, et al
09/29/2021	CFTC Orders Société Générale S.A. to Pay $1.5 Million for Mid-Market Mark, Swap Valuation Data and Supervision Failures Order: Societe Generale S.A.
09/29/2021	CFTC Orders California Company to Pay $100,000 for Failing to Register as a Swap Execution Facility Order: Symphony Communication Services, LLC
09/29/2021	CFTC Charges 14 Entities for Failing to Register as FCMs or Falsely Claiming to be Registered Complaint and Notice: TradingForexPay Complaint and Notice: Cryptofxtrader Complaint and Notice: Bitfxprofit Complaint and Notice: Globalnationfx Complaint and Notice: BinanceFX Trade Complaint and Notice: MaxForexOption Complaint and Notice: ProCryptoMinners Complaint and Notice: ProFX-Capitals Complaint and Notice: Smarter Signals Complaint and Notice: Prime Expert Trade Complaint and Notice: Star Fx Pro Complaint and Notice: Excotradeoptions Complaint and Notice Climax Capital FX Complaint and Notice: Digitalexchange24.com
09/28/2021	CFTC Imposes A $1.25 Million Penalty against Kraken for Offering Illegal Off-Exchange Digital Asset Trading and Failing to Register as Required Order: Payward Ventures, Inc., et al. Concurring Statement of Commissioner Dawn D. Stump

Enforcement Actions

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