W Resources LLC | | | investor protection violation | 2017 | $150,000 |
Ikon Global Markets Inc. | | | data submission deficiencies | 2017 | $200,000 |
Copersucar Trading A.V.V. | | | investor protection violation | 2017 | $300,000 |
Bank of Tokyo-Mitsubishi UFJ, Ltd. | Mitsubishi UFJ Financial Group | financial services | investor protection violation | 2017 | $600,000 |
INTL FCStone Financial Inc. | StoneX Group | financial services | investor protection violation | 2017 | $280,000 |
Statoil ASA | Equinor | oil and gas | investor protection violation | 2017 | $4,000,000 |
Draven, LLC | | | fraud | 2017 | $1,487,964 |
Cargill Inc. | Cargill | agribusiness | investor protection violation | 2017 | $10,000,000 |
Morgan Stanley | Morgan Stanley | financial services | data submission deficiencies | 2017 | $350,000 |
Arab Global Commodities DMCC | | | investor protection violation | 2017 | $300,000 |
Logista Advisors LLC | | | investor protection violation | 2017 | $250,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2017 | $500,000 |
Tillage Commodities, LLC | | | investor protection violation | 2017 | $150,000 |
Citibank N.A. | Citigroup | financial services | data submission deficiencies | 2017 | $550,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2017 | $2,500,000 |
Mintco LLC | | | investor protection violation | 2017 | $250,000 |
FTS Financial, Inc. | | | investor protection violation | 2017 | $4,800,000 |
United Business Servicing | | | fraud | 2017 | $4,941,157 |
STA Opus NR LLC | | | fraud | 2017 | $4,521,420 |
AMP Global Clearing LLC | | | investor protection violation | 2018 | $100,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | price-fixing or anti-competitive practices | 2018 | $70,000,000 |
HSBC Securities (USA) Inc. | HSBC | financial services | investor protection violation | 2018 | $1,600,000 |
UBS AG | UBS | financial services | investor protection violation | 2018 | $15,000,000 |
Deutsche Bank AG and Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2018 | $30,000,000 |
Williams Advisory Group, LLC | | | investor protection violation | 2018 | $19,450,034 |
Maverick International, Inc. | | | investor protection violation | 2018 | $8,605,274 |
Madigan Enterprises, Inc. et al. | | | investor protection violation | 2018 | $3,589,913 |
Glencore Agriculture B.V., | | | investor protection violation | 2018 | $2,000,000 |
BNP Paribas Securities Corp. | BNP Paribas | financial services | price-fixing or anti-competitive practices | 2018 | $90,000,000 |
R.J. O'Brien & Associates LLC | | | investor protection violation | 2018 | $600,000 |
Intrade The Prediction Market Limited (Intrade) and Trade Exchange Network Limited | | | investor protection violation | 2018 | $3,000,000 |
Tallinex | | | investor protection violation | 2018 | $10,971,279 |
Lansing Trade Group, LLC | Andersons Inc. | wholesalers | investor protection violation | 2018 | $3,400,000 |
TradeMasters USA, LLC | | | investor protection violation | 2018 | $674,504 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | financial services | price-fixing or anti-competitive practices | 2018 | $65,000,000 |
All City Investments, LLC | | | investor protection violation | 2018 | $670,912 |
Societe Generale S.A. | Societe Generale | financial services | price-fixing or anti-competitive practices | 2018 | $475,000,000 |
X-Change Financial Access LLC | | | investor protection violation | 2018 | $150,000 |
Cifuentes Fund Management, LLC | | | investor protection violation | 2018 | $2,227,120 |
Algointeractive Inc | | | investor protection violation | 2018 | $962,200 |
Commerzbank AG | Commerzbank | financial services | investor protection violation | 2018 | $12,000,000 |
Gelfman Blueprint, Inc. | | | investor protection violation | 2018 | $2,408,734 |
Bank of Nova Scotia | Scotiabank | financial services | investor protection violation | 2018 | $800,000 |
Kooima & Kaemingk Commodities, Inc. | | | investor protection violation | 2018 | $13,170,857 |
Mizuho Bank, Ltd. | Mizuho Financial | financial services | investor protection violation | 2018 | $250,000 |
Geneva Trading USA, LLC | | | investor protection violation | 2018 | $1,500,000 |
Victory Asset | | | investor protection violation | 2018 | $1,800,000 |
Bank of America, N.A. | Bank of America | financial services | price-fixing or anti-competitive practices | 2018 | $30,000,000 |
ICAP Capital Markets LLC | CME Group | financial services | price-fixing or anti-competitive practices | 2018 | $50,000,000 |
Global Asset Advisors LLC d/b/a Daniels Trading | | | investor protection violation | 2018 | $300,000 |
Honouround (HK) International Trade Co. Ltd.? | | | investor protection violation | 2018 | $300,000 |
NatWest Markets Plc | NatWest Group PLC | financial services | investor protection violation | 2018 | $750,000 |
ABN AMRO Clearing Chicago LLC | ABN AMRO | financial services | investor protection violation | 2018 | $160,000 |
Mobius Risk Group LLC | | | investor protection violation | 2018 | $75,000 |
Newport Private Capital LLC | | | investor protection violation | 2018 | $315,000 |
Wright Time Capital Group LLC | | | investor protection violation | 2018 | $1,485,000 |
Phaetra Capital GP LLC, Phaetra Capital Management LP, and Argenta Group LLC | | | investor protection violation | 2018 | $23,117,551 |
E-Slate, Inc. | | | investor protection violation | 2018 | $11,183,497 |
1pool Ltd. | | | investor protection violation | 2019 | $421,000 |
Royal Leisure International, Inc. and Gold Chasers, Inc. | | | investor protection violation | 2019 | $10,970,756 |
The Tulving Company, Inc. | | | investor protection violation | 2019 | $15,761,432 |
Pishon Holding LLC | | | investor protection violation | 2019 | $1,259,317 |
Blackbox Pulse, LLC | | | investor protection violation | 2019 | $2,712,807 |
Mark Olsen Mining Company | | | investor protection violation | 2019 | $3,631,280 |
Apuro Holdings Ltd et al. | | | investor protection violation | 2019 | $2,243,344 |
ADM Investor Services Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2019 | $250,000 |
Eagle Market Makers, Inc. | | | investor protection violation | 2019 | $350,000 |
Elephas Investment Management Ltd. | | | investor protection violation | 2019 | $160,000 |
Essex Futures | | | investor protection violation | 2019 | $500,000 |
Korea Exchange, Inc. | | | investor protection violation | 2019 | $150,000 |
Kraft Foods | Kraft Heinz | food products | price-fixing or anti-competitive practices | 2019 | $8,000,000 |
Lucrative Pips Corporation | | | investor protection violation | 2019 | $2,694,799 |
Merrill Lynch Commodities, Inc. | Bank of America | financial services | investor protection violation | 2019 | (*)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 |
Mondelez Global | Mondelez International | food products | price-fixing or anti-competitive practices | 2019 | $8,000,000 |
The Kane Capital Investment Group, LLC | | | investor protection violation | 2019 | $1,232,510 |
Vision Financial Markets LLC | | | investor protection violation | 2019 | $200,000 |
Zilmil, Inc. | | | investor protection violation | 2019 | $22,854,289 |
BGC Financial, L.P. | BGC Partners | financial services | investor protection violation | 2019 | $3,000,000 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | investor protection violation | 2019 | $14,475,000 |
Mitsubishi Corporation RtM Japan Ltd. | Mitsubishi Corporation | diversified | investor protection violation | 2019 | $500,000 |
Tower Research Capital LLC | | | investor protection violation | 2019 | $67,493,849 |
Silver Star FX, LLC et al. | | | investor protection violation | 2019 | $75,000 |
Blue Bit Banc et al. | | | investor protection violation | 2019 | $3,346,405 |
XBT Corp. SARL d/b/a First Global Credit | | | investor protection violation | 2019 | $100,000 |
Allied Markets, LLC | | | investor protection violation | 2019 | $2,400,000 |
Omega Knight 2, LLC | | | investor protection violation | 2019 | $15,257,028 |
Upstream Energy Services LLC | | | investor protection violation | 2019 | $75,000 |
Treasury Vault, LLC | | | investor protection violation | 2019 | $75,000 |
Fabio Bretas de Freitas and Phy Capital Investments LLC | | | investor protection violation | 2019 | $22,986,190 |
BGC Financial, LP | BGC Partners | financial services | investor protection violation | 2019 | $15,000,000 |
GFI Securities, LLC | BGC Partners | financial services | investor protection violation | 2019 | $10,000,000 |
Mitsubishi International Corporation | Mitsubishi Corporation | diversified | investor protection violation | 2019 | $400,000 |
Belvedere Trading LLC | | | investor protection violation | 2019 | $1,100,000 |
Morgan Stanley Capital Group Inc. | Morgan Stanley | financial services | investor protection violation | 2019 | $1,500,000 |
PNC Bank, National Association | PNC Financial Services | financial services | investor protection violation | 2019 | $300,000 |
Bank of New York Mellon | Bank of New York Mellon | financial services | investor protection violation | 2019 | $750,000 |
NatWest Markets Plc | NatWest Group PLC | financial services | investor protection violation | 2019 | $850,000 |
Northern Trust Company | Northern Trust | financial services | investor protection violation | 2019 | $1,000,000 |
Societe Generale International Limited | Societe Generale | financial services | investor protection violation | 2019 | $2,500,000 |
HSBC Bank USA, N.A. | HSBC | financial services | investor protection violation | 2019 | $650,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2019 | $5,000,000 |