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Violation Tracker Agency Summary Page

Agency Name: Commodity Futures Trading Commission
Penalty Total since 2000: $18,422,323,473
Number of Records: 782
Note: The parent penalty totals are adjusted to account for the fact that the list of individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. Duplicate penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
JPMorgan Chase$1,608,865,00015
Glencore$1,186,000,0001
UBS$1,158,045,00011
Deutsche Bank$990,750,0008
Citigroup$841,675,00010
Barclays$791,860,0007
NatWest Group PLC$701,600,0005
Societe Generale$555,200,0006
Rabobank$475,000,0001
HSBC$357,250,0006

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.

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CompanyCurrent ParentCurrent Parent Industry sort iconPrimary Offense TypeYearPenalty Amount
Pioneer Futures Inc. data submission deficiencies2007$25,000
Man Financial Inc. investor protection violation2007$316,900
Premium Income Corp. investor protection violation2007$123,000,000
Acceleration Capital, LLC investor protection violation2007$218,000
Rosenthal Collins Group data submission deficiencies2007$25,000
Falco & Stevens, Inc. investor protection violation2007$4,724,607
Emerald Worldwide Holdings, Inc. investor protection violation2006$3,433,721
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services investor protection violation2006$19,555,041
Worldwide Commodity Corporation and South Coast Commodities, Inc. investor protection violation2006$14,700,000
Axess Trading Co., Inc. investor protection violation2006$569,437
International Investments Holdings Corp. investor protection violation2006$12,120,000
Risk Capital Trading Group, Inc investor protection violation2006$22,000,000
COES FX Clearing, Inc. investor protection violation2006$246,601
Nexgen Software Systems, Inc. investor protection violation2006$20,000
Wall Street Underground, Inc. investor protection violation2006$9,500,000
First American Investment Services, Inc. investor protection violation2006$8,983,388
Veras Investment Partners, LLC investor protection violation2005$500,000
Trade Exchange Network Limited investor protection violation2005$150,000
Armajaro Trading Limited investor protection violation2005$35,000
Warenhandelsgesellschaft Corinth, m.b.H. investor protection violation2005$25,000
Allegheny Gulf Investments, Inc investor protection violation2005$440,000
Hencorp Becstone Futures LC investor protection violation2005$50,000
E Net Speculation Ltd. investor protection violation2004$50,000
Fimat International Banque SA investor protection violation2004$25,000
Refco Overseas Limited investor protection violation2004$25,000
World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc. investor protection violation2004$7,520,580
Coral Energy Resources, L.P. data submission deficiencies2004$30,000,000
Enron Corp. price-fixing or anti-competitive practices2004$35,000,000
United Energy, Inc. investor protection violation2004$20,000
Western Gas Resources, Inc. investor protection violation2004$7,000,000
International Financial Services (New York) LLC investor protection violation2004$100,000,000
CMS Marketing Services & Trading and CMS Field Services price-fixing or anti-competitive practices2003$16,000,000
Boston Trading Advisors, LLC investor protection violation2003$10,000
Enserco Energy, Inc. price-fixing or anti-competitive practices2003$3,000,000
WD Energy Services, Inc price-fixing or anti-competitive practices2003$20,000,000
Carr Futures Inc data submission deficiencies2003$75,000
Currency Trading Systems investor protection violation2001$1,521,000
CTS Financial Publishing, Inc. consumer protection violation2001$220,000
Peregrine Financial Group, Inc. investor protection violation2000$90,000
Farmers Cooperative Company investor protection violation2000$100,000
Sogemin Metals Inc. investor protection violation2000$500,000
First Options of Chicago, Inc. investor protection violation2000$163,000
DeBrink Trading Fund I, LLC fraud2016$910,000
International Monetary Metals, Inc. investor protection violation2016$9,800,000
Cindium Inc. and Einstein Exchange Group Inc. investor protection violation2016$601,000
My Global Leverage, LLC investor protection violation2016$1,465,528
James A. Shepherd Inc. fraud2016$8,060,810
JSC VTB Bank investor protection violation2016$5,000,000
RNS Holdings LP data submission deficiencies2016$389,032
Advantage Futures LLC investor protection violation2016$1,500,000
Advanced Trading Workshop, Inc. investor protection violation2016$940,000
Angus Partners LLC investor protection violation2016$250,000
The Yorkshire Group, Inc. investor protection violation2016$1,569,801
IB Capital FX, LLC investor protection violation2016$35,420,000
Chicago Index Partners, L.P. (CIP) and Wilkinson Financial Opportunity Fund, L.P. fraud2016$21,800,000
Kering Capital Ltd. fraud2016$1,200,000
Convergent Wealth Advisors LLC fraud2016$800,000
3Red Trading LLC fraud2016$2,500,000
EJS Capital Management fraud2017$11,600,000
CNCGC Hong Kong Ltd data submission deficiencies2017$150,000
Vision Financial Partners, LLC investor protection violation2017$6,527,130
Oden Capital Management, LLC investor protection violation2017$100,000
Guardian Asset Group, LLC investor protection violation2017$1,086,033
MakeYourFuture, LLC investor protection violation2017$1,207,294
Billionaire Investor Group, The Toole Group Inc., and?Catalyst Traders LLC investor protection violation2017$493,141
Assurance Capital Management, LLC investor protection violation2017$1,969,165
Rosenthal Collins Capital Markets, LLC investor protection violation2017$5,000,000
Marbury Advisors Inc. investor protection violation2017$4,441,652
Huafu HK Co. Ltd. investor protection violation2017$225,000
Wall Street Pirate Management, LLC investor protection violation2017$125,000
McVean Trading & Investments, LLC investor protection violation2017$1,500,000
North American Asset Management, LLC investor protection violation2017$1,626,189
K.B. Concepts Group, LLC investor protection violation2017$607,955
W Resources LLC investor protection violation2017$150,000
Ikon Global Markets Inc. data submission deficiencies2017$200,000
Copersucar Trading A.V.V. investor protection violation2017$300,000
Draven, LLC fraud2017$1,487,964
Arab Global Commodities DMCC investor protection violation2017$300,000
Logista Advisors LLC investor protection violation2017$250,000
Tillage Commodities, LLC investor protection violation2017$150,000
Mintco LLC investor protection violation2017$250,000
FTS Financial, Inc. investor protection violation2017$4,800,000
United Business Servicing fraud2017$4,941,157
STA Opus NR LLC fraud2017$4,521,420
Rothlin & Windsor Capital Management, Inc. fraud2002$13,924,051
Matrix Trading Group, Inc. fraud2002$299,129
Myers, Arnold, Davidson, Inc. and Cooper, Thomas, Unger, Inc. fraud2002$229,615
AMP Global Clearing LLC investor protection violation2018$100,000
Williams Advisory Group, LLC investor protection violation2018$19,450,034
Maverick International, Inc. investor protection violation2018$8,605,274
Madigan Enterprises, Inc. et al. investor protection violation2018$3,589,913
Glencore Agriculture B.V., investor protection violation2018$2,000,000
R.J. O'Brien & Associates LLC investor protection violation2018$600,000
Intrade The Prediction Market Limited (Intrade) and Trade Exchange Network Limited investor protection violation2018$3,000,000
Tallinex investor protection violation2018$10,971,279
TradeMasters USA, LLC investor protection violation2018$674,504
All City Investments, LLC investor protection violation2018$670,912
X-Change Financial Access LLC investor protection violation2018$150,000
Cifuentes Fund Management, LLC investor protection violation2018$2,227,120
Algointeractive Inc investor protection violation2018$962,200
Gelfman Blueprint, Inc. investor protection violation2018$2,408,734
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.