Powerline Petroleum, LLC | | | investor protection violation | 2022 | $875,000 |
Financial Tree Trust et al. | | | investor protection violation | 2022 | $15,900,000 |
CTAX Series, LLC | | | investor protection violation | 2022 | $2,358,661 |
Prime Agricultural Investors, Inc. | | | investor protection violation | 2022 | $563,459 |
Main & Prospect Capital, LLC | | | investor protection violation | 2022 | $7,606,395 |
Ztegrity, Inc. | | | investor protection violation | 2022 | $943,570 |
BGC Derivative Markets, L.P. | | | investor protection violation | 2022 | $1,900,000 |
CX Futures Exchange, L.P. | | | investor protection violation | 2022 | $6,500,000 |
tpSEF, Inc. | | | investor protection violation | 2022 | $850,000 |
Quantum Financial Network, LLC | | | investor protection violation | 2022 | $192,894 |
Asset Risk Management, LLC | | | investor protection violation | 2022 | $200,000 |
Tanius Technology, LLC | | | investor protection violation | 2022 | $600,000 |
COFCO Corp. andChinatex Corp., Ltd. | | | investor protection violation | 2022 | $720,000 |
XP Investments US, LLC | | | investor protection violation | 2022 | $500,000 |
bZeroX, LLC | | | investor protection violation | 2022 | $250,000 |
Goldline, Inc. andA-Mark Precious Metals, Inc. | | | investor protection violation | 2022 | $1,077,801 |
Welther Oaks, LLC | | | investor protection violation | 2022 | $441,232 |
Walleye Capital LLC | | | investor protection violation | 2022 | $550,000 |
Monex Deposit Company et al. | | | investor protection violation | 2022 | $38,000,000 |
The Options Clearing Corporation | | | investor protection violation | 2023 | $5,000,000 |
DARMA, LLC | | | investor protection violation | 2023 | $150,000 |
Coquest Inc. et al. | | | investor protection violation | 2023 | $2,996,021 |
BBL Commodities LP | | | investor protection violation | 2023 | $400,000 |
DCAST Capital Investments LLCandFive Traders LLC | | | investor protection violation | 2023 | $16,087,440 |
AK Equity Group LLC and Xapphire LLC | | | investor protection violation | 2023 | $24,080,325 |
SR&B Investment Enterprises, Inc. | | | investor protection violation | 2023 | $2,461,877 |
King Royalty, LLC | | | investor protection violation | 2023 | $6,978,837 |
Bull Run Advantage, LLC | | | investor protection violation | 2023 | $215,719 |
Green Knight Investments, LLC | | | investor protection violation | 2023 | $675,378 |
Argent Asset Group LLC and First State Depository Company, LLC | | | investor protection violation | 2023 | $145,700,000 |
Challenger Life Company Limited | | | investor protection violation | 2023 | $150,000 |
Bryant Capital Trade Management Corporation | | | investor protection violation | 2023 | $250,655 |
Bluprint LLC | | | investor protection violation | 2023 | $8,863,753 |
Deridex, Inc. | | | investor protection violation | 2023 | $100,000 |
Mirror Trading International Proprietary Limited | | | investor protection violation | 2023 | $1,700,000,000 |
Opyn, Inc. | | | investor protection violation | 2023 | $250,000 |
ZeroEx, Inc. | | | investor protection violation | 2023 | $200,000 |
BareIt Media LLC | | | investor protection violation | 2023 | $100,000 |
LYFE, S.A. | | | anti-money-laundering deficiencies | 2023 | $212,014 |
Highland Quantitative Driven Investments LLC | | | investor protection violation | 2023 | $476,206 |
Advantage Futures LLC | | | investor protection violation | 2023 | $395,000 |
Tyche Asset Management LLC et al. | | | investor protection violation | 2023 | $21,308,692 |
Ceres Global Ag Corp. | | | price-fixing or anti-competitive practices | 2023 | $3,000,000 |
Tradewale LLC and Tradewale Managed Fund | | | investor protection violation | 2023 | $2,853,810 |
Oasis International Group et al. | | | investor protection violation | 2023 | $53,270,336 |
Justby International Auctions | | | investor protection violation | 2023 | $5,352,843 |
Highrise Advantage, LLC. | | | investor protection violation | 2023 | $102,234,376 |
Freepoint Commodities LLC | | | investor protection violation | 2023 | $91,000,000 |
Simply Gains, Inc. | | | investor protection violation | 2024 | $830,000 |
Nawabi Enterprise and Hyperion Consulting Inc. | | | investor protection violation | 2024 | $9,000,000 |
Empires Consulting Corp. | | | investor protection violation | 2024 | $64,356,794 |
Blue Moon Investments Inc. | | | investor protection violation | 2024 | $204,622,580 |
CHS Inc. | CHS Inc. | agribusiness | investor protection violation | 2016 | $1,000,000 |
Alfred C. Toepfer International, Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2015 | $400,000 |
Cargill de Mexico SA De CV | Cargill | agribusiness | investor protection violation | 2015 | $500,000 |
Olam International Ltd. and Olam Americas Inc. | Olam Group | agribusiness | investor protection violation | 2015 | $3,000,000 |
ADM Investor Services, Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2013 | $425,000 |
Bunge Global Markets, Inc. | Bunge | agribusiness | investor protection violation | 2011 | $550,000 |
ADM Investor Services, Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2009 | $200,000 |
Olam International Limited | Olam Group | agribusiness | investor protection violation | 2004 | $20,000 |
Cargill Inc. | Cargill | agribusiness | investor protection violation | 2017 | $10,000,000 |
ADM Investor Services Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2019 | $250,000 |
CHS, Inc. | CHS Inc. | agribusiness | investor protection violation | 2019 | $500,000 |
AG Processing Inc | Ag Processing Inc. | agribusiness | investor protection violation | 2021 | $400,000 |
Cargill Inc. | Cargill | agribusiness | investor protection violation | 2021 | $750,000 |
ADM Investor Services Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2022 | $500,000 |
CHS Hedging LLC | CHS Inc. | agribusiness | anti-money-laundering deficiencies | 2022 | $6,500,000 |
Forex Capital Markets, LLC | Jefferies Financial Group | diversified | investor protection violation | 2015 | $843,922 |
Marubeni America Corporation | Marubeni | diversified | investor protection violation | 2015 | $800,000 |
Forex Capital Markets LLC | Jefferies Financial Group | diversified | investor protection violation | 2011 | $14,200,000 |
Forex Capital Markets Ltd. | Jefferies Financial Group | diversified | investor protection violation | 2011 | $140,000 |
ConAgra Trade Group, Inc. | Marubeni | diversified | investor protection violation | 2010 | $12,000,000 |
Forex Capital Markets, LLC | Jefferies Financial Group | diversified | investor protection violation | 2017 | $7,000,000 |
Mitsubishi Corporation RtM Japan Ltd. | Mitsubishi Corporation | diversified | investor protection violation | 2019 | $500,000 |
Mitsubishi International Corporation | Mitsubishi Corporation | diversified | investor protection violation | 2019 | $400,000 |
Heraeus Metals New York LLC | Heraeus | diversified | investor protection violation | 2019 | $130,000 |
Jefferies Financial Services, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2022 | $30,000,000 |
Summit Energy Services Inc. | Schneider Electric | electrical and electronic equipment | investor protection violation | 2015 | $140,000 |
Citigroup | Citigroup | financial services | price-fixing or anti-competitive practices | 2016 | $175,000,000 |
Citibank | Citigroup | financial services | price-fixing or anti-competitive practices | 2016 | $250,000,000 |
JPMorgan Chase | JPMorgan Chase | financial services | data submission deficiencies | 2016 | $225,000 |
Credit Suisse | UBS | financial services | investor protection violation | 2016 | $665,000 |
JPMorgan Chase Bank | JPMorgan Chase | financial services | data submission deficiencies | 2015 | $100,000,000 |
BNP Paribas Securities | BNP Paribas | financial services | investor protection violation | 2015 | $140,000 |
Deutsche Bank AG | Deutsche Bank | financial services | data submission deficiencies | 2015 | $2,500,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2015 | $300,000 |
Barclays | Barclays | financial services | price-fixing or anti-competitive practices | 2015 | $400,000,000 |
Barclays | Barclays | financial services | price-fixing or anti-competitive practices | 2015 | $115,000,000 |
Deutsche Bank | Deutsche Bank | financial services | price-fixing or anti-competitive practices | 2015 | $800,000,000 |
Deutsche Bank Securities | Deutsche Bank | financial services | accounting fraud or deficiencies | 2014 | $3,000,000 |
Royal Bank of Canada | Royal Bank of Canada | financial services | investor protection violation | 2014 | $35,000,000 |
Citibank | Citigroup | financial services | price-fixing or anti-competitive practices | 2014 | $310,000,000 |
HSBC Bank | HSBC | financial services | price-fixing or anti-competitive practices | 2014 | $275,000,000 |
JPMorgan Chase Bank | JPMorgan Chase | financial services | price-fixing or anti-competitive practices | 2014 | $310,000,000 |
Royal Bank of Scotland plc | NatWest Group PLC | financial services | price-fixing or anti-competitive practices | 2014 | $290,000,000 |
UBS AG | UBS | financial services | price-fixing or anti-competitive practices | 2014 | $290,000,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2014 | $280,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2014 | $1,200,000 |
JPMorgan Securities | JPMorgan Chase | financial services | data submission deficiencies | 2014 | $650,000 |
Lloyds Banking Group plc | Lloyds Banking Group | financial services | price-fixing or anti-competitive practices | 2014 | $105,000,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2014 | $490,000 |