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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
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2011$100,000
Cantor FitzgeraldCantor Fitzgeraldfinancial servicesinvestor protection violation2022$6,000,000
Cargill de Mexico SA De CVCargillagribusinessinvestor protection violation2015$500,000
Cargill Inc.Cargillagribusinessinvestor protection violation2017$10,000,000
Cargill Inc.Cargillagribusinessinvestor protection violation2021$750,000
CHS Inc.CHS Inc.agribusinessinvestor protection violation2016$1,000,000
CHS, Inc.CHS Inc.agribusinessinvestor protection violation2019$500,000
CHS Hedging LLCCHS Inc.agribusinessanti-money-laundering deficiencies2022$6,500,000
CitigroupCitigroupfinancial servicesprice-fixing or anti-competitive practices2016$175,000,000
CitibankCitigroupfinancial servicesprice-fixing or anti-competitive practices2016$250,000,000
CitibankCitigroupfinancial servicesprice-fixing or anti-competitive practices2014$310,000,000
CitigroupCitigroupfinancial servicesinvestor protection violation2012$525,000
Citigroup Private Bank GP, Inc.Citigroupfinancial servicesdata submission deficiencies2009$100,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$25,000,000
Citibank N.A.Citigroupfinancial servicesdata submission deficiencies2017$550,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2020$4,500,000
Citibank, N.A.Citigroupfinancial servicesinvestor protection violation2021$1,000,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2022$75,000,000
ICAP Capital Markets LLCCME Groupfinancial servicesprice-fixing or anti-competitive practices2018$50,000,000
Coinbase Inc.Coinbase Global Inc.financial servicesinvestor protection violation2021$6,500,000
Commerzbank AGCommerzbankfinancial servicesinvestor protection violation2018$12,000,000
Credit Lyonnais Rouse LimitedCredit Agricolefinancial servicesinvestor protection violation2005$85,000
Credit Lyonnais Rouse LimitedCredit Agricolefinancial servicesinvestor protection violation2004$25,000
Dairy Farmers of America, Inc.Dairy Farmers of America (DFA)food productsinvestor protection violation2008$12,000,000
Deutsche Bank AGDeutsche Bankfinancial servicesdata submission deficiencies2015$2,500,000
Deutsche BankDeutsche Bankfinancial servicesprice-fixing or anti-competitive practices2015$800,000,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesaccounting fraud or deficiencies2014$3,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesprice-fixing or anti-competitive practices2018$70,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$30,000,000
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2020$9,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2020$1,250,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2022$75,000,000
Dominion Resources, Inc.Dominion Energyutilities and power generationdata submission deficiencies2006$4,250,000
Duke Energy Trading and Marketing, L.L.C.Duke Energyutilities and power generationprice-fixing or anti-competitive practices2003$28,000,000
Calpine Energy Services, L.P.Energy Capital Partnersprivate equity (including portfolio companies)investor protection violation2004$1,500,000
Energy Transfer Partners, L.P.Energy Transferpipelinesprice-fixing or anti-competitive practices2008$10,000,000
Sunoco LPEnergy Transferpipelinesinvestor protection violation2020$450,000
Entergy Koch Trading, L.P.Entergyutilities and power generationdata submission deficiencies2004$3,000,000
Statoil ASAEquinoroil and gasinvestor protection violation2017$4,000,000
Aquila Merchant ServicesEvergy Inc.utilities and power generationprice-fixing or anti-competitive practices2004$26,500,000
Glencore International A.G.Glencorefinancial servicesprice-fixing or anti-competitive practices2022$1,186,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2012$1,500,000
Goldman Sachs Execution & Clearing LPGoldman Sachsfinancial servicesinvestor protection violation2012$7,000,000
Goldman SachsGoldman Sachsfinancial servicesprice-fixing or anti-competitive practices2016$120,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2019$1,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2022$75,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2023$15,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2023$5,500,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$30,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$3,000,000
Heraeus Metals New York LLCHeraeusdiversifiedinvestor protection violation2019$130,000
HSBC BankHSBCfinancial servicesprice-fixing or anti-competitive practices2014$275,000,000
Republic New York Securities CorporationHSBCfinancial servicesinvestor protection violation2001$5,000,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2018$1,600,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2019$650,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2023$45,000,000
HSBC Bank PLCHSBCfinancial servicesinvestor protection violation2023$30,000,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2013$225,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2012$700,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2007$175,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesanti-money-laundering deficiencies2020$12,206,214
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2021$84,320,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2022$1,010,828
Interactive Brokers Corp. and Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2023$20,000,000
ICE Futures U.S. Inc.IntercontinentalExchange Groupfinancial servicesinvestor protection violation2015$3,000,000
Forex Capital Markets, LLCJefferies Financial Groupdiversifiedinvestor protection violation2015$843,922
Forex Capital Markets LLCJefferies Financial Groupdiversifiedinvestor protection violation2011$14,200,000
Forex Capital Markets Ltd.Jefferies Financial Groupdiversifiedinvestor protection violation2011$140,000
Forex Capital Markets, LLCJefferies Financial Groupdiversifiedinvestor protection violation2017$7,000,000
Jefferies Financial Services, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2022$30,000,000
JPMorgan ChaseJPMorgan Chasefinancial servicesdata submission deficiencies2016$225,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesdata submission deficiencies2015$100,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesprice-fixing or anti-competitive practices2014$310,000,000
JPMorgan SecuritiesJPMorgan Chasefinancial servicesdata submission deficiencies2014$650,000
JPMorgan ChaseJPMorgan Chasefinancial servicesinvestor protection violation2013$100,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesinvestor protection violation2012$600,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesaccounting fraud or deficiencies2012$20,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2012$140,000
J.P. Morgan Futures, Inc.JPMorgan Chasefinancial servicesdata submission deficiencies2009$300,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$900,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesprice-fixing or anti-competitive practices2018$65,000,000
JPMorgan Chase & CompanyJPMorgan Chasefinancial servicesinvestor protection violation2020$920,200,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2021$75,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2022$850,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2023$15,000,000
El Paso Merchant Energy, L.P.Kinder Morganpipelinesprice-fixing or anti-competitive practices2003$20,000,000
Kraft FoodsKraft Heinzfood productsprice-fixing or anti-competitive practices2019$8,000,000
Lloyds Banking Group plcLloyds Banking Groupfinancial servicesprice-fixing or anti-competitive practices2014$105,000,000
Macquarie Futures USA LLCMacquariefinancial servicesinvestor protection violation2013$150,000
Marathon Petroleum CompanyMarathon Petroleumoil and gasprice-fixing or anti-competitive practices2007$1,000,000
Marubeni America CorporationMarubenidiversifiedinvestor protection violation2015$800,000
ConAgra Trade Group, Inc.Marubenidiversifiedinvestor protection violation2010$12,000,000
Mitsubishi Corporation RtM Japan Ltd.Mitsubishi Corporationdiversifiedinvestor protection violation2019$500,000
Mitsubishi International CorporationMitsubishi Corporationdiversifiedinvestor protection violation2019$400,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupfinancial servicesinvestor protection violation2017$600,000
Mizuho Securities USA Inc.Mizuho Financialfinancial servicesdata submission deficiencies2013$175,000
Mizuho Bank, Ltd.Mizuho Financialfinancial servicesinvestor protection violation2018$250,000
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2021$1,500,000
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2023$6,847,182
Mondelez GlobalMondelez Internationalfood productsprice-fixing or anti-competitive practices2019$8,000,000
Mondelez GlobalMondelez Internationalfood productsinvestor protection violation2022$16,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.