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
Pure Reason LLC investor protection violation2015$140,000
American Portfolio Asset Management, Inc. investor protection violation2015$578,474
Global Consortiums LLC investor protection violation2015$589,660
Futures International LLC investor protection violation2015$500,000
Nord Capital Advisors LLC investor protection violation2015$280,000
Cargill de Mexico SA De CVCargillagribusinessinvestor protection violation2015$500,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2015$150,000
Phillips Investment & Trust LLC and Corporate I Communications & Technology Inc. investor protection violation2015$234,500
Forex Capital Markets, LLCJefferies Financial Groupdiversifiedinvestor protection violation2015$843,922
INTL FCStone Markets, LLCStoneX Groupfinancial servicesinvestor protection violation2015$200,000
Brunswick Capital LLC and Brunswick Capital Partners LP investor protection violation2015$1,025,039
Black Diamond Capital Solutions LLC, Life Plus Group LLC and Black Diamond Holdings LLC investor protection violation2015$76,000,000
Double Eagle Enterprises, LLC investor protection violation2015$700,000
Libero Commodities SA investor protection violation2015$480,000
FCStone, LLCStoneX Groupfinancial servicesinvestor protection violation2015$140,000
Inter-Global Currency & Precious Metals investor protection violation2015$547,342
Hope Advisors LLC investor protection violation2015$100,000
RFF GP LLC and KGW Capital Management LLC investor protection violation2015$7,515,888
Marubeni America CorporationMarubenidiversifiedinvestor protection violation2015$800,000
ICE Futures U.S. Inc.IntercontinentalExchange Groupfinancial servicesinvestor protection violation2015$3,000,000
North Hills Management LLC investor protection violation2015$26,000,000
Maize Capital Management, LLC and Maize Asset Management, LLC investor protection violation2015$6,702,818
Paramount Metals Exchange and Paramount Credit investor protection violation2015$2,595,946
Midwest Metals Exchange investor protection violation2015$522,852
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2015$18,000,000
Gold Coast Bullion Inc. investor protection violation2015$9,690,124
Lions Wealth Holdings, Lions Wealth Services and 20/20 Precious Metals investor protection violation2015$5,388,730
Olam International Ltd. and Olam Americas Inc.Olam Groupagribusinessinvestor protection violation2015$3,000,000
Summit Energy Services Inc.Schneider Electricelectrical and electronic equipmentinvestor protection violation2015$140,000
TOTE Fund LLC and MJS Capital Management LLC investor protection violation2015$871,439
CitigroupCitigroupfinancial servicesprice-fixing or anti-competitive practices2016$175,000,000
CitibankCitigroupfinancial servicesprice-fixing or anti-competitive practices2016$250,000,000
JPMorgan ChaseJPMorgan Chasefinancial servicesdata submission deficiencies2016$225,000
Credit SuisseUBSfinancial servicesinvestor protection violation2016$665,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$800,000
Vault Options, Ltd. and Global Trader 365 investor protection violation2016$4,587,371
Atlantas Group, Inc. investor protection violation2016$7,200,000
Agrocorp International Pte Ltd. investor protection violation2016$150,000
Golden Agri International Pte Ltd. investor protection violation2016$150,000
Tech Power Inc. investor protection violation2016$250,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2016$560,000
DG Wealth Management investor protection violation2016$17,499,623
Emini Experts, LLC and Capital Trading Concepts LLC investor protection violation2016$2,795,901
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc. investor protection violation2016$2,451,568
BFXNA Inc. d/b/a Bitfinex investor protection violation2016$75,000
Cypress Wealth Management, Inc. investor protection violation2016$430,764
Cunningham Commodities, LLC investor protection violation2016$150,000
Galileo Trading LLC investor protection violation2016$1,608,640
Badge Trading LLC investor protection violation2016$280,000
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC investor protection violation2016$4,723,246
Equinox Fund Management LLC investor protection violation2016$5,654,004
IBFX Inc. investor protection violation2016$1,000,000
CHS Inc.CHS Inc.agribusinessinvestor protection violation2016$1,000,000
Banc de Binary Ltd. investor protection violation2016$9,100,000
4X Solutions Inc. investor protection violation2016$10,980,904
Worth Group Inc. investor protection violation2016$2,500,000
Otkritie Capital International, Ltd. investor protection violation2016$140,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. investor protection violation2016$490,246,741
DeBrink Trading Fund I, LLC fraud2016$910,000
International Monetary Metals, Inc. investor protection violation2016$9,800,000
Cindium Inc. and Einstein Exchange Group Inc. investor protection violation2016$601,000
My Global Leverage, LLC investor protection violation2016$1,465,528
James A. Shepherd Inc. fraud2016$8,060,810
JSC VTB Bank investor protection violation2016$5,000,000
RNS Holdings LP data submission deficiencies2016$389,032
Advantage Futures LLC investor protection violation2016$1,500,000
Barclays Bank PLCBarclaysfinancial servicesdata submission deficiencies2016$500,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesdata submission deficiencies2016$400,000
Advanced Trading Workshop, Inc. investor protection violation2016$940,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2016$750,000
Angus Partners LLC investor protection violation2016$250,000
The Yorkshire Group, Inc. investor protection violation2016$1,569,801
IB Capital FX, LLC investor protection violation2016$35,420,000
Chicago Index Partners, L.P. (CIP) and Wilkinson Financial Opportunity Fund, L.P. fraud2016$21,800,000
Societe GeneraleSociete Generalefinancial servicesdata submission deficiencies2016$450,000
Kering Capital Ltd. fraud2016$1,200,000
Convergent Wealth Advisors LLC fraud2016$800,000
3Red Trading LLC fraud2016$2,500,000
Goldman SachsGoldman Sachsfinancial servicesprice-fixing or anti-competitive practices2016$120,000,000
EJS Capital Management fraud2017$11,600,000
CNCGC Hong Kong Ltd data submission deficiencies2017$150,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$900,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$25,000,000
E*TRADE Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2017$280,000
Davisco Foods International, Inc.Agropurfood productsinvestor protection violation2017$150,000
Vision Financial Partners, LLC investor protection violation2017$6,527,130
Oden Capital Management, LLC investor protection violation2017$100,000
Forex Capital Markets, LLCJefferies Financial Groupdiversifiedinvestor protection violation2017$7,000,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2017$85,000,000
Guardian Asset Group, LLC investor protection violation2017$1,086,033
MakeYourFuture, LLC investor protection violation2017$1,207,294
Billionaire Investor Group, The Toole Group Inc., and?Catalyst Traders LLC investor protection violation2017$493,141
Assurance Capital Management, LLC investor protection violation2017$1,969,165
Rosenthal Collins Capital Markets, LLC investor protection violation2017$5,000,000
Marbury Advisors Inc. investor protection violation2017$4,441,652
Huafu HK Co. Ltd. investor protection violation2017$225,000
Wall Street Pirate Management, LLC investor protection violation2017$125,000
McVean Trading & Investments, LLC investor protection violation2017$1,500,000
North American Asset Management, LLC investor protection violation2017$1,626,189
K.B. Concepts Group, LLC investor protection violation2017$607,955
W Resources LLC investor protection violation2017$150,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.