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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 Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Powerline Petroleum, LLC investor protection violation2022$875,000
Financial Tree Trust et al. investor protection violation2022$15,900,000
CTAX Series, LLC investor protection violation2022$2,358,661
Prime Agricultural Investors, Inc. investor protection violation2022$563,459
Main & Prospect Capital, LLC investor protection violation2022$7,606,395
Ztegrity, Inc. investor protection violation2022$943,570
BGC Derivative Markets, L.P. investor protection violation2022$1,900,000
CX Futures Exchange, L.P. investor protection violation2022$6,500,000
tpSEF, Inc. investor protection violation2022$850,000
Quantum Financial Network, LLC investor protection violation2022$192,894
Asset Risk Management, LLC investor protection violation2022$200,000
Tanius Technology, LLC investor protection violation2022$600,000
COFCO Corp. andChinatex Corp., Ltd. investor protection violation2022$720,000
XP Investments US, LLC investor protection violation2022$500,000
bZeroX, LLC investor protection violation2022$250,000
Goldline, Inc. andA-Mark Precious Metals, Inc. investor protection violation2022$1,077,801
Welther Oaks, LLC investor protection violation2022$441,232
Walleye Capital LLC investor protection violation2022$550,000
Monex Deposit Company et al. investor protection violation2022$38,000,000
The Options Clearing Corporation investor protection violation2023$5,000,000
DARMA, LLC investor protection violation2023$150,000
Coquest Inc. et al. investor protection violation2023$2,996,021
BBL Commodities LP investor protection violation2023$400,000
DCAST Capital Investments LLCandFive Traders LLC investor protection violation2023$16,087,440
AK Equity Group LLC and Xapphire LLC investor protection violation2023$24,080,325
SR&B Investment Enterprises, Inc. investor protection violation2023$2,461,877
King Royalty, LLC investor protection violation2023$6,978,837
Bull Run Advantage, LLC investor protection violation2023$215,719
Green Knight Investments, LLC investor protection violation2023$675,378
Argent Asset Group LLC and First State Depository Company, LLC investor protection violation2023$145,700,000
Challenger Life Company Limited investor protection violation2023$150,000
Bryant Capital Trade Management Corporation investor protection violation2023$250,655
Bluprint LLC investor protection violation2023$8,863,753
Deridex, Inc. investor protection violation2023$100,000
Mirror Trading International Proprietary Limited investor protection violation2023$1,700,000,000
Opyn, Inc. investor protection violation2023$250,000
ZeroEx, Inc. investor protection violation2023$200,000
BareIt Media LLC investor protection violation2023$100,000
LYFE, S.A. anti-money-laundering deficiencies2023$212,014
Highland Quantitative Driven Investments LLC investor protection violation2023$476,206
Advantage Futures LLC investor protection violation2023$395,000
Tyche Asset Management LLC et al. investor protection violation2023$21,308,692
Ceres Global Ag Corp. price-fixing or anti-competitive practices2023$3,000,000
Tradewale LLC and Tradewale Managed Fund investor protection violation2023$2,853,810
Oasis International Group et al. investor protection violation2023$53,270,336
Justby International Auctions investor protection violation2023$5,352,843
Highrise Advantage, LLC. investor protection violation2023$102,234,376
Freepoint Commodities LLC investor protection violation2023$91,000,000
Simply Gains, Inc.  investor protection violation2024$830,000
Nawabi Enterprise and Hyperion Consulting Inc. investor protection violation2024$9,000,000
Empires Consulting Corp. investor protection violation2024$64,356,794
Blue Moon Investments Inc. investor protection violation2024$204,622,580
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2013$1,000,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2018$160,000
AG Processing IncAg Processing Inc.agribusinessinvestor protection violation2021$400,000
Davisco Foods International, Inc.Agropurfood productsinvestor protection violation2017$150,000
American Electric Power Company, Inc. and AEP Energy Services, Inc.American Electric Powerutilities and power generationdata submission deficiencies2005$30,000,000
Lansing Trade Group, LLCAndersons Inc.wholesalersinvestor protection violation2018$3,400,000
Alfred C. Toepfer International, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2015$400,000
ADM Investor Services, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2013$425,000
ADM Investor Services, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2009$200,000
ADM Investor Services Inc.Archer Daniels Midlandagribusinessinvestor protection violation2019$250,000
ADM Investor Services Inc.Archer Daniels Midlandagribusinessinvestor protection violation2022$500,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2015$150,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2012$350,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2024$500,000
Avista EnergyAvistautilities and power generationprice-fixing or anti-competitive practices2001$2,100,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2014$1,200,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$350,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americafinancial servicesdata submission deficiencies2007$500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2017$2,500,000
Bank of America, N.A.Bank of Americafinancial servicesprice-fixing or anti-competitive practices2018$30,000,000
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
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$300,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2022$100,000,000
Bank of America, N.A.Bank of Americafinancial servicesinvestor protection violation2023$8,000,000
Bank of MontrealBank of Montrealfinancial servicesinvestor protection violation2023$35,000,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2019$750,000
BarclaysBarclaysfinancial servicesprice-fixing or anti-competitive practices2015$400,000,000
BarclaysBarclaysfinancial servicesprice-fixing or anti-competitive practices2015$115,000,000
Barclays PLCBarclaysfinancial servicesprice-fixing or anti-competitive practices2012$200,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$800,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2016$560,000
Barclays Bank PLCBarclaysfinancial servicesdata submission deficiencies2016$500,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2022$75,000,000
Barry Callebaut Sourcing AGBarry Callebautfood productsinvestor protection violation2004$25,000
BGC Financial, L.P.BGC Partnersfinancial servicesinvestor protection violation2019$3,000,000
BGC Financial, LPBGC Partnersfinancial servicesinvestor protection violation2019$15,000,000
GFI Securities, LLCBGC Partnersfinancial servicesinvestor protection violation2019$10,000,000
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
BlackRock Institutional Trust Company NABlackRockfinancial servicesinvestor protection violation2012$250,000
BNP Paribas SecuritiesBNP Paribasfinancial servicesinvestor protection violation2015$140,000
BNP Paribas Commodity Futures, Ltd.BNP Paribasfinancial servicesdata submission deficiencies2008$25,000
Cinergy Marketing & Trading, LPBNP Paribasfinancial servicesdata submission deficiencies2004$3,000,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesprice-fixing or anti-competitive practices2018$90,000,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2022$6,000,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2023$75,000,000
BP Products North America Inc.BPoil and gasprice-fixing or anti-competitive practices2007$303,000,000
Bunge Global Markets, Inc.Bungeagribusinessinvestor protection violation2011$550,000
Cantor FitzgeraldCantor Fitzgeraldfinancial servicesinvestor protection violation2012$700,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2011$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.