Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYear sort iconPenalty Amount
Prestige Capital Advisors and D2W Capital Management investor protection violation2013$11,700,000
ACJ Capital Inc., and Solid View Capital LLC investor protection violation2013$1,500,000
Bentley Equities, LLC investor protection violation2013$2,700,000
FCStone LLCStoneX Groupfinancial servicesinvestor protection violation2013$1,500,000
Trade, LLC investor protection violation2013$39,800,000
Arjent Capital Markets LLC and Chicago Trading Managers LLC investor protection violation2013$1,800,000
MB Trading Futures Inc. investor protection violation2013$200,000
Complete Developments, LLC and Investment International Inc. investor protection violation2013$23,000,000
Q Wealth Management Inc. investor protection violation2013$5,000,000
The Linn Group, Inc. investor protection violation2013$400,000
PMC Strategy, LLC investor protection violation2013$1,800,000
InovaTrade, Inc. investor protection violation2013$38,000,000
National Equity Holdings, Inc. investor protection violation2013$3,600,000
Forex Global Solutions Inc. and Forex Global Solutions Ltd. investor protection violation2013$750,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2013$225,000
Summit Trading & Capital LLC investor protection violation2013$4,800,000
VFRS LLC investor protection violation2013$3,200,000
Joseph Glenn Commodities LLC and JGCF LLC investor protection violation2013$1,000,000
System Capital, LLC investor protection violation2013$840,000
MXBK Group S.A. de C.V. and MBFX S.A. investor protection violation2013$57,000,000
Capstone FX Quantitative Analysis, Inc. and Beekeepers Fund Capital Management, LLC investor protection violation2013$3,500,000
Madison Dean, Inc. investor protection violation2013$1,400,000
EagleEye Asset Management investor protection violation2013$600,000
Enskilda Futures Limited investor protection violation2013$125,000
J. Hansen Investments, LLC investor protection violation2013$1,300,000
Gelber Group, LLC investor protection violation2013$750,000
GID Group, Inc. investor protection violation2013$2,400,000
Trader's International Return Network investor protection violation2013$22,800,000
Angus Jackson, Inc. investor protection violation2013$2,800,000
Lincolnshire Trading Partners, LLC investor protection violation2013$140,000
Trans Global Investments, LLC investor protection violation2013$340,000
R.J. O'Brien & Associates, LLC investor protection violation2013$300,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesaccounting fraud or deficiencies2014$3,000,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesinvestor protection violation2014$35,000,000
CitibankCitigroupfinancial servicesprice-fixing or anti-competitive practices2014$310,000,000
HSBC BankHSBCfinancial servicesprice-fixing or anti-competitive practices2014$275,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesprice-fixing or anti-competitive practices2014$310,000,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2014$290,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2014$290,000,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014$280,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2014$1,200,000
JPMorgan SecuritiesJPMorgan Chasefinancial servicesdata submission deficiencies2014$650,000
Lloyds Banking Group plcLloyds Banking Groupfinancial servicesprice-fixing or anti-competitive practices2014$105,000,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014$490,000
Morgan Stanley Capital GroupMorgan Stanleyfinancial servicesinvestor protection violation2014$200,000
Vasquez Global Investments, LLC investor protection violation2014$1,326,224
MF Global Holdings Ltd. investor protection violation2014$1,312,000,000
AlphaMetrix, LLC investor protection violation2014$5,600,000
Champion Management International, LLC investor protection violation2014$2,544,722
IBFX, Inc. investor protection violation2014$600,000
Gold Distributors, Inc. investor protection violation2014$1,349,066
Pinnacle Forex Group LLC investor protection violation2014$819,378
American Bullion Exchange investor protection violation2014$18,000,000
Financial Robotics, Inc. investor protection violation2014$2,481,000
JBW Capital LLC investor protection violation2014$2,860,000
Vertical Integration Group LLC investor protection violation2014$3,120,688
Friedberg Mercantile Group, Inc. investor protection violation2014$70,000
Peak Capital Management Group, Inc. investor protection violation2014$1,600,000
Absa Bank, Ltd. investor protection violation2014$150,000
FXDirectDealer, LLC investor protection violation2014$600,000
WorldPMX, Inc. investor protection violation2014$1,100,000
Zulutrade Inc. investor protection violation2014$150,000
FirstRand Bank, Ltd. investor protection violation2014$150,000
AmeriFirst Management LLC investor protection violation2014$35,000,000
Palm Beach Capital LLC investor protection violation2014$520,960
Parnon Energy Inc., Arcadia Petroleum Ltd., and Arcadia Energy (Suisse) SA investor protection violation2014$13,000,000
Winsome Investment Trust and US Ventures investor protection violation2014$44,000,000
SK Madison Commodities, LLC investor protection violation2014$3,523,846
Hunter Wise investor protection violation2014$108,000,000
Global Futures & Forex, Ltd.StoneX Groupfinancial servicesinvestor protection violation2014$200,000
Tunney & Associates, P.C. investor protection violation2014$100,000
PGS Capital Wealth Management of Sherman Oaks, California, PGS Capital Credit, Inc. investor protection violation2014$462,727
Rockwell Asset Management, Inc. investor protection violation2014$477,210
Capital Market Services, LLC investor protection violation2014$275,000
Newbridge Alliance, Inc. and United States Capital Trust, LLC investor protection violation2014$3,381,179
New Century Investment Management LLC investor protection violation2014$5,700,000
Queen Shoals Consultants, LLC investor protection violation2014$5,760,000
Global Strategic Marketing, Inc. investor protection violation2014$2,292,798
Oxford Capital investor protection violation2014$3,519,309
Altamont Global Partners LLC investor protection violation2014$15,800,000
Worth Asset Management investor protection violation2014$6,200,000
Harbor Light Asset Management investor protection violation2014$5,200,000
Elite Management Holdings Corp. and MJM Enterprises LLC investor protection violation2014$10,000,000
Lloyds Commodities, LLC investor protection violation2014$5,000,000
CTI Group LLC and Cooper Trading investor protection violation2014$29,000,000
Multigrain SA and Agricola Xingu SA investor protection violation2014$500,000
New World Holdings LLC investor protection violation2014$50,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesdata submission deficiencies2015$100,000,000
BNP Paribas SecuritiesBNP Paribasfinancial servicesinvestor protection violation2015$140,000
Deutsche Bank AGDeutsche Bankfinancial servicesdata submission deficiencies2015$2,500,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2015$300,000
BarclaysBarclaysfinancial servicesprice-fixing or anti-competitive practices2015$400,000,000
BarclaysBarclaysfinancial servicesprice-fixing or anti-competitive practices2015$115,000,000
Deutsche BankDeutsche Bankfinancial servicesprice-fixing or anti-competitive practices2015$800,000,000
Total Gas & Power North America, Inc.TotalEnergies SEoil and gasinvestor protection violation2015$3,600,000
Sharpe Signa, LLC and Haeres Capital, LLC investor protection violation2015$70,000
Sentry Asset Group, LLC d/b/a Sentry Asset Management, LLC investor protection violation2015$378,767
Executive Management Advisors L.L.C. investor protection violation2015$31,000,000
Direct Investment Products, Inc. investor protection violation2015$3,851,633
Alfred C. Toepfer International, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2015$400,000
Pure Reason LLC investor protection violation2015$140,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.