On Monday, Nov. 10, the U.S. Commodity Futures Trading Commission (CFTC) reported on the agency’s enforcement results for fiscal year 2014.
The CFTC obtained a record $3.27 billion in monetary sanctions imposed against companies and individuals. The CFTC filed 67 new enforcement actions while continuing to devote significant resources to litigating a host of complex cases filed in prior years. A number of those litigations reached successful resolutions, either through settlement, the granting of summary judgment, or a finding of liability after trial.
Here are the highlights of these enforcements.