The mission of the CFTC is to protect investors and the public from fraud in the commodity futures and options markets. This section:
- educates consumers about U.S. futures markets
- notifies the public about the types of fraud in the marketplace
- offers guidance on how to file complaints or send in tips regarding suspicious activities
- provides updates on disciplinary actions
Highlights
Learn Before You Invest
Futures markets are inherently volatile, complex, and risky. Our Education Center will help you understand the purpose, process, and the pitfalls of trading in the futures markets.
CFTC SmartCheck
SmartCheck.gov gives you easy access to free tools to check the background of financial professionals and keeps you informed of some of the latest fraud schemes – directly from those who regulate financial professionals. It only takes a few minutes. Better safe than taken, right? Visit SmartCheck.gov for more information.
Stay connected with the CFTC SmartCheck campaign to learn more about protecting yourself from financial fraud. Like our Facebook page and follow us on Twitter.
CFTC RED List
The RED (Registration Deficient) List identifies unregistered foreign entities that the CFTC has reason to believe are illegally soliciting and/or accepting funds from U.S. residents. Companies soliciting U.S. customers to trade in foreign currency (Forex) or binary options are required to register with the CFTC. Review the RED List to identify firms that should be registered with the CFTC, but are not. Caution is recommended when trading with these entities.
Our Fraud Awareness and Prevention section teaches you what to look out for.
File a Complaint or Send a Tip
The CFTC welcomes information from the public about possible violations of the commodity futures laws. This section explains how to:
- File a complaint with our Reparations Program
- Send a tip to our Enforcement Division regarding suspicious activities or transactions
Follow the Status of Enforcement Actions and Disciplinary Sanctions
- Case Status Reports
Provide the status of open enforcement actions - Reparations Sanctions
Search our historical database of individuals and firms who are prohibited from trading. - Administrative Sanctions
Search our historical database of individuals and firms who have been suspended or disqualified from trading, or otherwise sanctioned.
Investor Resources
Ponzimonium: How Scam Artists are Ripping Off America
A new book and consumer education resource by Commissioner Bart Chilton about the perils of Ponzi schemes. The FINRA Foundation created a video about Beau Diamond, one of the fraudsters included in the book. View the video here.
National Futures Association (NFA) Investor Information
Learn about how the markets work and the firms and individuals you are doing business with before participating in the futures or foreign currency markets.
Investor.Gov
Investor.gov is the Securities and Exchange Commission’s online resource designed to help you invest wisely and avoid fraud.
Financial Industry Regulatory Authority (FINRA) Investor Information
Learn about investing and how to build your financial knowledge. FINRA's website offers articles, interactive tools, alerts and other resources that help you protect yourself.
Other Resources
Find Out if Your Broker is Registered
Use the National Futures Association's BASIC database to find out if your broker is registered or if there is a futures-related regulatory or non-regulatory action against them.
CFTC Enforcement Press Releases
Get the latest news from the CFTC on o ur enforcement actions
CFTC Enforcement Actions
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.