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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
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2020$9,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2020$1,250,000
Vitol Inc.Vitolfinancial servicesfraud2020(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
Morgan Stanley Capital Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
Gain Capital Group, LLCStoneX Groupfinancial servicesinvestor protection violation2020$300,000
JPMorgan Chase & CompanyJPMorgan Chasefinancial servicesinvestor protection violation2020$920,200,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2020$4,500,000
Coinbase Inc.Coinbase Global Inc.financial servicesinvestor protection violation2021$6,500,000
Credit SuisseUBSfinancial servicesinvestor protection violation2021$1,500,000
UBS AGUBSfinancial servicesinvestor protection violation2021$500,000
Societe Generale S.A.Societe Generalefinancial servicesinvestor protection violation2021$1,500,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2021$84,320,000
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2021$1,500,000
Citibank, N.A.Citigroupfinancial servicesinvestor protection violation2021$1,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2021$75,000,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2022$1,010,828
Glencore International A.G.Glencorefinancial servicesprice-fixing or anti-competitive practices2022$1,186,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2022$850,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2022$6,000,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2022$100,000,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2022$75,000,000
Cantor FitzgeraldCantor Fitzgeraldfinancial servicesinvestor protection violation2022$6,000,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2022$75,000,000
Credit SuisseUBSfinancial servicesinvestor protection violation2022$75,000,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2022$75,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2022$75,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2022$75,000,000
Nomura SecuritiesNomurafinancial servicesinvestor protection violation2022$50,000,000
UBS AGUBSfinancial servicesinvestor protection violation2022$75,000,000
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2023$6,847,182
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2023$15,000,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2023$45,000,000
HSBC Bank PLCHSBCfinancial servicesinvestor protection violation2023$30,000,000
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2023$15,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023$6,000,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2023$75,000,000
Societe GeneraleSociete Generalefinancial servicesinvestor protection violation2023$75,000,000
Wells FargoWells Fargofinancial servicesinvestor protection violation2023$75,000,000
Bank of MontrealBank of Montrealfinancial servicesinvestor protection violation2023$35,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2023$5,500,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$30,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2023$15,000,000
Bank of America, N.A.Bank of Americafinancial servicesinvestor protection violation2023$8,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$3,000,000
Interactive Brokers Corp. and Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2023$20,000,000
StoneX Markets LLCStoneX Groupfinancial servicesinvestor protection violation2023$650,000
Binance Holdings Limited et al.Binance Holdingsfinancial servicesinvestor protection violation2023(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2024$500,000
U.S. Bank, N.A.U.S. Bancorpfinancial servicesinvestor protection violation2024$6,000,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2024$1,000,000
Dairy Farmers of America, Inc.Dairy Farmers of America (DFA)food productsinvestor protection violation2008$12,000,000
Barry Callebaut Sourcing AGBarry Callebautfood productsinvestor protection violation2004$25,000
Davisco Foods International, Inc.Agropurfood productsinvestor protection violation2017$150,000
Kraft FoodsKraft Heinzfood productsprice-fixing or anti-competitive practices2019$8,000,000
Mondelez GlobalMondelez Internationalfood productsprice-fixing or anti-competitive practices2019$8,000,000
Tyson Foods, Inc.Tyson Foodsfood productsinvestor protection violation2021$1,500,000
Mondelez GlobalMondelez Internationalfood productsinvestor protection violation2022$16,000,000
Total Gas & Power North America, Inc.TotalEnergies SEoil and gasinvestor protection violation2015$3,600,000
BP Products North America Inc.BPoil and gasprice-fixing or anti-competitive practices2007$303,000,000
Marathon Petroleum CompanyMarathon Petroleumoil and gasprice-fixing or anti-competitive practices2007$1,000,000
Shell International Trading and Shipping Co.Shell PLCoil and gasinvestor protection violation2006$200,000
The Williams Companies, Inc.Williams Companiesoil and gasdata submission deficiencies2003$20,000,000
Statoil ASAEquinoroil and gasinvestor protection violation2017$4,000,000
Energy Transfer Partners, L.P.Energy Transferpipelinesprice-fixing or anti-competitive practices2008$10,000,000
ONEOK Inc.Oneokpipelinesdata submission deficiencies2004$3,000,000
El Paso Merchant Energy, L.P.Kinder Morganpipelinesprice-fixing or anti-competitive practices2003$20,000,000
Sunoco LPEnergy Transferpipelinesinvestor protection violation2020$450,000
Calpine Energy Services, L.P.Energy Capital Partnersprivate equity (including portfolio companies)investor protection violation2004$1,500,000
San Diego Gas & Electric CompanySempra Energyutilities and power generationinvestor protection violation2010$80,000
Sempra Energy Trading LLCSempra Energyutilities and power generationinvestor protection violation2008$175,000
NRG Energy, Inc.NRG Energyutilities and power generationdata submission deficiencies2007$2,000,000
Dominion Resources, Inc.Dominion Energyutilities and power generationdata submission deficiencies2006$4,250,000
American Electric Power Company, Inc. and AEP Energy Services, Inc.American Electric Powerutilities and power generationdata submission deficiencies2005$30,000,000
Mirant Americas Energy Marketing LPNRG Energyutilities and power generationprice-fixing or anti-competitive practices2004$12,500,000
Aquila Merchant ServicesEvergy Inc.utilities and power generationprice-fixing or anti-competitive practices2004$26,500,000
e prime, Inc.Xcel Energyutilities and power generationprice-fixing or anti-competitive practices2004$16,000,000
Entergy Koch Trading, L.P.Entergyutilities and power generationdata submission deficiencies2004$3,000,000
Reliant Energy Services, Inc.NRG Energyutilities and power generationprice-fixing or anti-competitive practices2003$18,000,000
Duke Energy Trading and Marketing, L.L.C.Duke Energyutilities and power generationprice-fixing or anti-competitive practices2003$28,000,000
Dynegy Marketing & Trade (Dynegy) and West Coast Power LLCVistra Energyutilities and power generationprice-fixing or anti-competitive practices2002$5,000,000
Avista EnergyAvistautilities and power generationprice-fixing or anti-competitive practices2001$2,100,000
Lansing Trade Group, LLCAndersons Inc.wholesalersinvestor protection violation2018$3,400,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.