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
10/12/2023	CFTC Charges Former Chief Executive Officer of Digital Asset Platform with Fraud in Massive Commodity Pool Scheme Complaint: Stephen Ehrlich Statement of Commissioner Kristin N. Johnson Statement of Commissioner Caroline D. Pham
10/06/2023	CFTC Charges Trading Firm, CEO, and COO with $5 Million Forex Commodity Pool Scheme Complaint: Technical Trading Team, LLC, et al
09/29/2023	CFTC Orders Three Financial Institutions to Pay Over $50 Million for Swap Reporting Failures and Other Violations Order: Goldman Sachs & Co. LLC Order: Bank of America, N.A. and Merrill Lynch International Order: JPMorgan Chase Bank, N.A., et al. Statement of Commissioner Kristin N. Johnson Concurring Statement of CFTC Commissioner Christy Goldsmith Romero on Goldman S… Statement of Commissioner Christy Goldsmith Romero Statement of CFTC Commissioner Christy Goldsmith Romero on Bank of America, etc.
09/29/2023	CFTC Orders Goldman Sachs to Pay $3 Million for Supervision Failures and Material Omissions in a Letter to the CFTC’s Division of Enforcement Goldman Sachs & Co. LLC
09/29/2023	Foreign Trading Platform Charged with Failure to Register and Supervise Its Anti-Money Laundering Procedures Order: LYFE S.A. Statement of Commissioner Christy Goldsmith Romero
09/29/2023	CFTC Charges Four Individuals and a Seychelles Company with Operating a Fraudulent Digital Assets Trading Scheme and Misappropriation Complaint: Or Patreanu, et al
09/29/2023	CFTC Charges Eight Entities for Fraudulently Claiming CFTC Registration Complaint: altux-fx-miner Complaint: AstroFXMinners Complaint: Avadigital-Miners.com Complaint: Globalbitasset Complaint: Gold Life Investment Complaint: Matchlessfxminer Complaint: PrimeCapitalTrade a/k/a Primecapitaltrade.com Complaint: Trading Extramining Dissenting Statement of Commissioner Caroline D. Pham
09/29/2023	CFTC Charges Florida Man and His Company in Connection with a Foreign Currency Fraudulent Solicitation Scheme Complaint: Roberto Pulido,et al
09/29/2023	CFTC Orders Interactive Brokers to Pay $20 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods Order: Interactive Brokers Corp Statement of Commissioner Kristin N. Johnson Statement of Commissioner Christy Goldsmith Romero
09/28/2023	CFTC Orders a Colorado Commodity Pool Operator and Its Owner to Pay More Than $475,000 for Fraud Violations Order: Michael T. Zatorski et, al

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