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.

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Date ENFORCEMENT ACTIONS
CFTC Charges KuCoin with Operating Illegal Digital Asset Derivatives Exchange
Federal Court Orders Florida Forex Trader to Pay $3.4 Million for Futures, Forex, Options Scheme
CFTC Orders U.S. Bank to Pay $6 Million and Oppenheimer to Pay $1 Million for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved Communication Methods
Federal Court Orders Unregistered Florida Commodity Pool Operator to Pay Over $64 Million in Monetary Sanctions for Fraudulent Scheme
CFTC Awards Insider Whistleblower Approximately $1.25 Million
Federal Court Orders Binary Options Firm and Owners to Pay Over $204 Million in Monetary Sanctions for Fraudulent Binary Options Scheme
CFTC Files Action to Permanently Revoke Registrations of Mississippi Man Convicted on Criminal Charges
Federal Court Orders Oregon Resident and His Forex Trading Firm to Pay $830,000 in Civil Penalties for Commodity Fraud and Registration Violations
CFTC Charges Bogus Digital Asset Platform with Fraud and Misappropriation in an Online Romance Scam
CFTC Charges a Trader for Engaging in a Fictitious Sales Scheme