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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 IndustryPrimary Offense TypeYear sort iconPenalty Amount
Jeff Shalhoub Investments investor protection violation2011$700,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2011$100,000
Newedge USA, LLC investor protection violation2011$220,000
Northstar International Group, Inc. investor protection violation2011$11,000,000
Crossfire Trading, LLC investor protection violation2011$84,000,000
Daniels Trading Group LLC investor protection violation2011$2,000,000
Diamond Ventures LLC investor protection violation2011$4,000,000
Forex Auto Profits, LLC investor protection violation2011$2,900,000
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
TC Credit Service d/b/a Del-Mair Group investor protection violation2012$2,600,000
Trigon Group, Inc. investor protection violation2012$20,600,000
Forex Capital Trading Group, Forex Capital Trading Partners, and Highland Stone Capital Management investor protection violation2012$1,800,000
MBF Clearing Corp. investor protection violation2012$650,000
iGlobal Strategic Management, LLC investor protection violation2012$2,000,000
Cantor FitzgeraldCantor Fitzgeraldfinancial servicesinvestor protection violation2012$700,000
Eagle Market Makers Inc. investor protection violation2012$223,000
Demuzio Capital Management, LLC investor protection violation2012$3,000,000
Crabapple Capital Group LLC investor protection violation2012$2,600,000
Lunden Forex Partners, LP, Lunden Forex Management, LLC , Black Horse Funds, LLC, Black Horse Management, LLC, and Black Horse Partners, LP investor protection violation2012$1,890,000
Farr Financial Inc. investor protection violation2012$280,000
GlobeFX Club, Inc. investor protection violation2012$350,000
Midway Trading Company, LLC and Conquest Investment Group, Inc. investor protection violation2012$1,400,000
CMA Capital Management, LLC investor protection violation2012$5,500,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2012$350,000
Sheenson Investments, Ltd. investor protection violation2012$1,500,000
York Business Associates LLC d/b/a TransAct Futures investor protection violation2012$199,000
Infinity Futures LLC investor protection violation2012$340,000
ProfitStars Intl, Corp. investor protection violation2012$280,000
Blue Sky Capital Management Corp. investor protection violation2012$140,000
CSG Commodity Service Group investor protection violation2012$1,200,000
SMP Bank and Epaster Investments, Ltd. investor protection violation2012$980,000
Elsworth Berg Capital Management LLC, Elsworth Berg Inc., and Elsworth Berg FX LLC investor protection violation2012$5,400,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2012$700,000
LMC Asset Management, Inc. investor protection violation2012$140,000
Stuckey Group, L.P., Stuckey Group II, L.P. and Oakwood Development Company, L.P. investor protection violation2012$250,000
Axcess Automation LLC and Axcess Fund Management LLC investor protection violation2012$41,000,000
Growth Capital Management LLC investor protection violation2012$9,300,000
The Trade Tech Institute, Inc. and Technology Trading International, Inc. investor protection violation2012$15,759,357
Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC investor protection violation2012$2,500,000
CDH Forex Investments, LLC and CDH Global Holdings LLC investor protection violation2012$5,400,000
Pro Trading Course, LLC investor protection violation2012$600,000
Open E Cry, LLC investor protection violation2012$250,000
Prosperity Team, LLC investor protection violation2012$2,600,000
Progressive Investment Funds LLC investor protection violation2012$700,000
ACI Capital Group, L.L.C. investor protection violation2012$850,000
Invers Forex, LLC investor protection violation2012$4,000,000
International Foreign Currency investor protection violation2012$4,600,000
Financial Instruments Ltd. investor protection violation2012$140,000
SNC Asset Management, Inc. and SNC Investments, Inc. investor protection violation2012$5,000,000
PassThrough Investments, LLC investor protection violation2012$1,100,000
Forex Liquidity LLC investor protection violation2012$400,000
Optiver Holding BV investor protection violation2012$14,000,000
Flint-McClung Capital LLC investor protection violation2012$6,000,000
Safeguard 3030 Investment Club investor protection violation2012$3,000,000
Rosenthal Collins Group, LLC investor protection violation2012$2,500,000
Total Call Group, Inc. investor protection violation2012$4,800,000
ACJ Capital, Inc. investor protection violation2012$3,700,000
FCStone, LLC and Commodity Operations Inc.StoneX Groupfinancial servicesinvestor protection violation2012$260,000
City Credit Capital, (UK) Ltd. investor protection violation2012$140,000
Windsor Brokers, Ltd. investor protection violation2012$140,000
Enfinium Pty Ltd investor protection violation2012$80,000
Virtual Vision Inc. investor protection violation2012$1,000,000
D.E. Shaw & Co. L.P. investor protection violation2012$140,000
Centurion Global Capital Management LLC investor protection violation2012$360,000
Newedge USA, LLC investor protection violation2012$700,000
FXOpen Investments Inc. investor protection violation2012$140,000
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
SHK Management LLC investor protection violation2013$400,000
ADM Investor Services, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2013$425,000
FXDirectDealer, LLC investor protection violation2013$275,000
R.J. O'Brien & Associates LLC investor protection violation2013$125,000
Vision Financial Markets LLC investor protection violation2013$525,000
iFinix Futures, Inc. investor protection violation2013$1,260,000
Vision Financial Markets LLC investor protection violation2013$140,000
Newbridge Metals, LLC investor protection violation2013$1,500,000
Foremost Trading LLC investor protection violation2013$400,000
FXDirectDealer, LLC investor protection violation2013$2,740,000
Paramount Management, LLC investor protection violation2013$2,400,000
London Metals Market LLC investor protection violation2013$121,000
Macquarie Futures USA LLCMacquariefinancial servicesinvestor protection violation2013$150,000
The Borrowing Station, LLC investor protection violation2013$600,000
Velocity Futures, LLC investor protection violation2013$300,000
Global Precious Metals Trading Company investor protection violation2013$2,200,000
Pan American Metals of Miami and Pan American Metals of Miami Beach investor protection violation2013$4,700,000
Panther Energy Trading LLC investor protection violation2013$2,800,000
Alpha Trade Group S.A. investor protection violation2013$5,779,000
Prestige Capital Advisors and D2W Capital Management investor protection violation2013$11,700,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.