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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
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014$490,000
Morgan Stanley Capital GroupMorgan Stanleyfinancial servicesinvestor protection violation2014$200,000
RabobankRabobankfinancial servicesprice-fixing or anti-competitive practices2013$475,000,000
JPMorgan ChaseJPMorgan Chasefinancial servicesinvestor protection violation2013$100,000,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2013$1,000,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2013$325,000,000
Mizuho Securities USA Inc.Mizuho Financialfinancial servicesdata submission deficiencies2013$175,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2012$700,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2012$1,500,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2012$200,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesinvestor protection violation2012$600,000
CitigroupCitigroupfinancial servicesinvestor protection violation2012$525,000
Barclays PLCBarclaysfinancial servicesprice-fixing or anti-competitive practices2012$200,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2012$5,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesaccounting fraud or deficiencies2012$20,000,000
Goldman Sachs Execution & Clearing LPGoldman Sachsfinancial servicesinvestor protection violation2012$7,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2012$140,000
BlackRock Institutional Trust Company NABlackRockfinancial servicesinvestor protection violation2012$250,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$350,000
Morgan Stanley Capital GroupMorgan Stanleyfinancial servicesdata submission deficiencies2010$14,000,000
UBS SecuritiesUBSfinancial servicesdata submission deficiencies2010$200,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$800,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2016$560,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2015$150,000
INTL FCStone Markets, LLCStoneX Groupfinancial servicesinvestor protection violation2015$200,000
FCStone, LLCStoneX Groupfinancial servicesinvestor protection violation2015$140,000
ICE Futures U.S. Inc.IntercontinentalExchange Groupfinancial servicesinvestor protection violation2015$3,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2015$18,000,000
Global Futures & Forex, Ltd.StoneX Groupfinancial servicesinvestor protection violation2014$200,000
Macquarie Futures USA LLCMacquariefinancial servicesinvestor protection violation2013$150,000
FCStone LLCStoneX Groupfinancial servicesinvestor protection violation2013$1,500,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2013$225,000
Cantor FitzgeraldCantor Fitzgeraldfinancial servicesinvestor protection violation2012$700,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2012$350,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2012$700,000
FCStone, LLC and Commodity Operations Inc.StoneX Groupfinancial servicesinvestor protection violation2012$260,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2011$100,000
Vitol Inc. and Vitol Capital Management Ltd.Vitolfinancial servicesinvestor protection violation2010$6,000,000
Noble Americas Corp.Vitolfinancial servicesinvestor protection violation2010$130,000
UBS AGUBSfinancial servicesinvestor protection violation2010$130,000
Scotia Capital Inc.Scotiabankfinancial servicesinvestor protection violation2010$250,000
Citigroup Private Bank GP, Inc.Citigroupfinancial servicesdata submission deficiencies2009$100,000
J.P. Morgan Futures, Inc.JPMorgan Chasefinancial servicesdata submission deficiencies2009$300,000
UBS Fund Advisor, LLCUBSfinancial servicesdata submission deficiencies2009$50,000
BNP Paribas Commodity Futures, Ltd.BNP Paribasfinancial servicesdata submission deficiencies2008$25,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americafinancial servicesdata submission deficiencies2007$500,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2007$175,000
Credit Lyonnais Rouse LimitedCredit Agricolefinancial servicesinvestor protection violation2005$85,000
Cinergy Marketing & Trading, LPBNP Paribasfinancial servicesdata submission deficiencies2004$3,000,000
Credit Lyonnais Rouse LimitedCredit Agricolefinancial servicesinvestor protection violation2004$25,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesdata submission deficiencies2003$45,000
Prudential Securities, Inc.Wells Fargofinancial servicesdata submission deficiencies2002$65,000
Republic New York Securities CorporationHSBCfinancial servicesinvestor protection violation2001$5,000,000
Barclays Bank PLCBarclaysfinancial servicesdata submission deficiencies2016$500,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesdata submission deficiencies2016$400,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2016$750,000
Societe GeneraleSociete Generalefinancial servicesdata submission deficiencies2016$450,000
Goldman SachsGoldman Sachsfinancial servicesprice-fixing or anti-competitive practices2016$120,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$900,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$25,000,000
E*TRADE Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2017$280,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2017$85,000,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupfinancial servicesinvestor protection violation2017$600,000
INTL FCStone Financial Inc.StoneX Groupfinancial servicesinvestor protection violation2017$280,000
Morgan StanleyMorgan Stanleyfinancial servicesdata submission deficiencies2017$350,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2017$500,000
Citibank N.A.Citigroupfinancial servicesdata submission deficiencies2017$550,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2017$2,500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesprice-fixing or anti-competitive practices2018$70,000,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2018$1,600,000
UBS AGUBSfinancial servicesinvestor protection violation2018$15,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$30,000,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesprice-fixing or anti-competitive practices2018$90,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesprice-fixing or anti-competitive practices2018$65,000,000
Societe Generale S.A.Societe Generalefinancial servicesprice-fixing or anti-competitive practices2018$475,000,000
Commerzbank AGCommerzbankfinancial servicesinvestor protection violation2018$12,000,000
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2018$800,000
Mizuho Bank, Ltd.Mizuho Financialfinancial servicesinvestor protection violation2018$250,000
Bank of America, N.A.Bank of Americafinancial servicesprice-fixing or anti-competitive practices2018$30,000,000
ICAP Capital Markets LLCCME Groupfinancial servicesprice-fixing or anti-competitive practices2018$50,000,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2018$750,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2018$160,000
Merrill Lynch Commodities, Inc.Bank of Americafinancial servicesinvestor protection violation2019(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000
BGC Financial, L.P.BGC Partnersfinancial servicesinvestor protection violation2019$3,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesinvestor protection violation2019$14,475,000
BGC Financial, LPBGC Partnersfinancial servicesinvestor protection violation2019$15,000,000
GFI Securities, LLCBGC Partnersfinancial servicesinvestor protection violation2019$10,000,000
Morgan Stanley Capital Group Inc.Morgan Stanleyfinancial servicesinvestor protection violation2019$1,500,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesinvestor protection violation2019$300,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2019$750,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2019$850,000
Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2019$1,000,000
Societe Generale International LimitedSociete Generalefinancial servicesinvestor protection violation2019$2,500,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2019$650,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019$5,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$300,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2019$1,000,000
The Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2020$50,000,000
The Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2020$77,400,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesanti-money-laundering deficiencies2020$12,206,214
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2020$9,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.