Lansing Trade Group, LLC | Andersons Inc. | wholesalers | investor protection violation | 2018 | $3,400,000 |
San Diego Gas & Electric Company | Sempra Energy | utilities and power generation | investor protection violation | 2010 | $80,000 |
Sempra Energy Trading LLC | Sempra Energy | utilities and power generation | investor protection violation | 2008 | $175,000 |
NRG Energy, Inc. | NRG Energy | utilities and power generation | data submission deficiencies | 2007 | $2,000,000 |
Dominion Resources, Inc. | Dominion Energy | utilities and power generation | data submission deficiencies | 2006 | $4,250,000 |
American Electric Power Company, Inc. and AEP Energy Services, Inc. | American Electric Power | utilities and power generation | data submission deficiencies | 2005 | $30,000,000 |
Mirant Americas Energy Marketing LP | NRG Energy | utilities and power generation | price-fixing or anti-competitive practices | 2004 | $12,500,000 |
Aquila Merchant Services | Evergy Inc. | utilities and power generation | price-fixing or anti-competitive practices | 2004 | $26,500,000 |
e prime, Inc. | Xcel Energy | utilities and power generation | price-fixing or anti-competitive practices | 2004 | $16,000,000 |
Entergy Koch Trading, L.P. | Entergy | utilities and power generation | data submission deficiencies | 2004 | $3,000,000 |
Reliant Energy Services, Inc. | NRG Energy | utilities and power generation | price-fixing or anti-competitive practices | 2003 | $18,000,000 |
Duke Energy Trading and Marketing, L.L.C. | Duke Energy | utilities and power generation | price-fixing or anti-competitive practices | 2003 | $28,000,000 |
Dynegy Marketing & Trade (Dynegy) and West Coast Power LLC | Vistra Energy | utilities and power generation | price-fixing or anti-competitive practices | 2002 | $5,000,000 |
Avista Energy | Avista | utilities and power generation | price-fixing or anti-competitive practices | 2001 | $2,100,000 |
Calpine Energy Services, L.P. | Energy Capital Partners | private equity (including portfolio companies) | investor protection violation | 2004 | $1,500,000 |
Energy Transfer Partners, L.P. | Energy Transfer | pipelines | price-fixing or anti-competitive practices | 2008 | $10,000,000 |
ONEOK Inc. | Oneok | pipelines | data submission deficiencies | 2004 | $3,000,000 |
El Paso Merchant Energy, L.P. | Kinder Morgan | pipelines | price-fixing or anti-competitive practices | 2003 | $20,000,000 |
Sunoco LP | Energy Transfer | pipelines | investor protection violation | 2020 | $450,000 |
Total Gas & Power North America, Inc. | TotalEnergies SE | oil and gas | investor protection violation | 2015 | $3,600,000 |
BP Products North America Inc. | BP | oil and gas | price-fixing or anti-competitive practices | 2007 | $303,000,000 |
Marathon Petroleum Company | Marathon Petroleum | oil and gas | price-fixing or anti-competitive practices | 2007 | $1,000,000 |
Shell International Trading and Shipping Co. | Shell PLC | oil and gas | investor protection violation | 2006 | $200,000 |
The Williams Companies, Inc. | Williams Companies | oil and gas | data submission deficiencies | 2003 | $20,000,000 |
Statoil ASA | Equinor | oil and gas | investor protection violation | 2017 | $4,000,000 |
Dairy Farmers of America, Inc. | Dairy Farmers of America (DFA) | food products | investor protection violation | 2008 | $12,000,000 |
Barry Callebaut Sourcing AG | Barry Callebaut | food products | investor protection violation | 2004 | $25,000 |
Davisco Foods International, Inc. | Agropur | food products | investor protection violation | 2017 | $150,000 |
Kraft Foods | Kraft Heinz | food products | price-fixing or anti-competitive practices | 2019 | $8,000,000 |
Mondelez Global | Mondelez International | food products | price-fixing or anti-competitive practices | 2019 | $8,000,000 |
Tyson Foods, Inc. | Tyson Foods | food products | investor protection violation | 2021 | $1,500,000 |
Mondelez Global | Mondelez International | food products | investor protection violation | 2022 | $16,000,000 |
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 |
Morgan Stanley Capital Group | Morgan Stanley | financial services | investor protection violation | 2014 | $200,000 |
Rabobank | Rabobank | financial services | price-fixing or anti-competitive practices | 2013 | $475,000,000 |
JPMorgan Chase | JPMorgan Chase | financial services | investor protection violation | 2013 | $100,000,000 |
ABN AMRO Clearing Chicago LLC | ABN AMRO | financial services | investor protection violation | 2013 | $1,000,000 |
Royal Bank of Scotland plc | NatWest Group PLC | financial services | price-fixing or anti-competitive practices | 2013 | $325,000,000 |
Mizuho Securities USA Inc. | Mizuho Financial | financial services | data submission deficiencies | 2013 | $175,000 |
UBS AG | UBS | financial services | price-fixing or anti-competitive practices | 2012 | $700,000,000 |
Goldman Sachs | Goldman Sachs | financial services | investor protection violation | 2012 | $1,500,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2012 | $200,000 |
JPMorgan Chase Bank | JPMorgan Chase | financial services | investor protection violation | 2012 | $600,000 |
Citigroup | Citigroup | financial services | investor protection violation | 2012 | $525,000 |
Barclays PLC | Barclays | financial services | price-fixing or anti-competitive practices | 2012 | $200,000,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2012 | $5,000,000 |
JPMorgan Chase Bank | JPMorgan Chase | financial services | accounting fraud or deficiencies | 2012 | $20,000,000 |
Goldman Sachs Execution & Clearing LP | Goldman Sachs | financial services | investor protection violation | 2012 | $7,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2012 | $140,000 |
BlackRock Institutional Trust Company NA | BlackRock | financial services | investor protection violation | 2012 | $250,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2011 | $350,000 |
Morgan Stanley Capital Group | Morgan Stanley | financial services | data submission deficiencies | 2010 | $14,000,000 |
UBS Securities | UBS | financial services | data submission deficiencies | 2010 | $200,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2016 | $800,000 |
Barclays Bank PLC | Barclays | financial services | investor protection violation | 2016 | $560,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | financial services | investor protection violation | 2015 | $150,000 |
INTL FCStone Markets, LLC | StoneX Group | financial services | investor protection violation | 2015 | $200,000 |
FCStone, LLC | StoneX Group | financial services | investor protection violation | 2015 | $140,000 |
ICE Futures U.S. Inc. | IntercontinentalExchange Group | financial services | investor protection violation | 2015 | $3,000,000 |
U.S. Bank National Association | U.S. Bancorp | financial services | investor protection violation | 2015 | $18,000,000 |
Global Futures & Forex, Ltd. | StoneX Group | financial services | investor protection violation | 2014 | $200,000 |
Macquarie Futures USA LLC | Macquarie | financial services | investor protection violation | 2013 | $150,000 |
FCStone LLC | StoneX Group | financial services | investor protection violation | 2013 | $1,500,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2013 | $225,000 |
Cantor Fitzgerald | Cantor Fitzgerald | financial services | investor protection violation | 2012 | $700,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | financial services | investor protection violation | 2012 | $350,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2012 | $700,000 |
FCStone, LLC and Commodity Operations Inc. | StoneX Group | financial services | investor protection violation | 2012 | $260,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2011 | $100,000 |
Vitol Inc. and Vitol Capital Management Ltd. | Vitol | financial services | investor protection violation | 2010 | $6,000,000 |
Noble Americas Corp. | Vitol | financial services | investor protection violation | 2010 | $130,000 |
UBS AG | UBS | financial services | investor protection violation | 2010 | $130,000 |
Scotia Capital Inc. | Scotiabank | financial services | investor protection violation | 2010 | $250,000 |
Citigroup Private Bank GP, Inc. | Citigroup | financial services | data submission deficiencies | 2009 | $100,000 |
J.P. Morgan Futures, Inc. | JPMorgan Chase | financial services | data submission deficiencies | 2009 | $300,000 |
UBS Fund Advisor, LLC | UBS | financial services | data submission deficiencies | 2009 | $50,000 |
BNP Paribas Commodity Futures, Ltd. | BNP Paribas | financial services | data submission deficiencies | 2008 | $25,000 |
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC | Bank of America | financial services | data submission deficiencies | 2007 | $500,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2007 | $175,000 |