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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
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019$5,000,000
Classic Energy LLC investor protection violation2019$1,500,000
CHS, Inc.CHS Inc.agribusinessinvestor protection violation2019$500,000
Intergrain S.A. investor protection violation2019$175,000
Hard Eight Futures, LLC investor protection violation2019$1,750,000
ARMKAT LLC investor protection violation2019$140,000
Heraeus Metals New York LLCHeraeusdiversifiedinvestor protection violation2019$130,000
Tullett Prebon Americas Inc. investor protection violation2019$13,000,000
Phillip Capital Inc. privacy violation2019$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$300,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2019$1,000,000
Dinar Corp., Inc. and My Monex, Inc. investor protection violation2020$22,600,000
Catalyst Capital Advisors LLC investor protection violation2020$10,208,481
Mirae Asset Daewoo Co., Ltd. investor protection violation2020$700,000
Gain Capital UK Limited investor protection violation2020$491,671
FuturesFX investor protection violation2020$1,750,000
Amada Capital Management LLC investor protection violation2020$596,700
Edge Financial Technologies, LLC investor protection violation2020$145,200
OANDA Corporation investor protection violation2020$500,000
The Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2020$50,000,000
The Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2020$77,400,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesanti-money-laundering deficiencies2020$12,206,214
New York Mercantile Exchange (NYMEX) investor protection violation2020$4,000,000
Southwest Group, LLC investor protection violation2020$75,000
Plutus Financial, Inc. d/b/a Abra investor protection violation2020$150,000
Perfection PR Firm LLC investor protection violation2020$1,296,572
Foremost Trading LLC investor protection violation2020$923,013
Cunningham Commodities, LLC investor protection violation2020$250,000
VOS Capital Management, LLC investor protection violation2020$3,813,875
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2020$9,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2020$1,250,000
Vitol Inc.Vitolfinancial servicesfraud2020(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
Venture Capital Investments LLC investor protection violation2020$900,604
Black Diamond Forex LP, BDF Trading LP, and Advanta FX investor protection violation2020$1,200,000
Morgan Stanley Capital Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
A&A Trading, Inc. investor protection violation2020$495,329
Sunoco LPEnergy Transferpipelinesinvestor protection violation2020$450,000
ARB Trading Group LP investor protection violation2020$445,000
Gain Capital Group, LLCStoneX Groupfinancial servicesinvestor protection violation2020$300,000
JPMorgan Chase & CompanyJPMorgan Chasefinancial servicesinvestor protection violation2020$920,200,000
FNY Partners Fund LP investor protection violation2020$450,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2020$4,500,000
Marex North America LLC investor protection violation2020$250,000
Marex Spectron International Limited investor protection violation2020$120,000
EOX Holdings LLC investor protection violation2020$120,000
Futures International LLC investor protection violation2020$120,000
OTC Europe LLP investor protection violation2020$120,000
Sukarne SA de CV investor protection violation2020$35,000
Southwest Services, L.L.C. investor protection violation2020$740,968
TFS-ICAP LLC and TFS-ICAP Ltd. investor protection violation2020$7,000,000
AG Processing IncAg Processing Inc.agribusinessinvestor protection violation2021$400,000
SummerHaven Investment Management LLC investor protection violation2021$500,000
J Squared LLC investor protection violation2021$198,555
The Alista Group, LLC investor protection violation2021$2,242,162
Circle Society, Corp. investor protection violation2021$32,141,375
Negus Capital Incorporated investor protection violation2021$1,178,180
Coinbase Inc.Coinbase Global Inc.financial servicesinvestor protection violation2021$6,500,000
Silver Star FX LLC dba Silver Star Live and Silver Star Live Software LLC investor protection violation2021$23,506,392
Tyson Foods, Inc.Tyson Foodsfood productsinvestor protection violation2021$1,500,000
HDR Global Trading Limited et al. investor protection violation2021$50,000,000
Laino Group Limited d/b/a PaxForex investor protection violation2021$374,864
Credit SuisseUBSfinancial servicesinvestor protection violation2021$1,500,000
Amaggi Exportacao e Importacao Ltda. investor protection violation2021$175,000
Classic Energy LLC investor protection violation2021$585,000
Denari Capital, LLC investor protection violation2021$3,663,282
Digital Platinum Limited investor protection violation2021$6,000,000
United States Commodity Funds LLC investor protection violation2021$2,500,000
Tether Holdings Limited et al. investor protection violation2021$41,000,000
Bitfinex investor protection violation2021$1,500,000
UBS AGUBSfinancial servicesinvestor protection violation2021$500,000
Lighthouse Futures, Ltd. investor protection violation2021$370,000
ICE Clear Europe Limited investor protection violation2021$450,000
Cargill Inc.Cargillagribusinessinvestor protection violation2021$750,000
Societe Generale S.A.Societe Generalefinancial servicesinvestor protection violation2021$1,500,000
Symphony Communication Services, LLC investor protection violation2021$100,000
Payward Ventures, Inc. d/b/a Kraken investor protection violation2021$1,250,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2021$84,320,000
KatchPips FX LLC investor protection violation2021$374,480
Refinitiv US SEF LLC investor protection violation2021$650,000
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2021$1,500,000
Citibank, N.A.Citigroupfinancial servicesinvestor protection violation2021$1,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2021$75,000,000
Aralia Securities, Ltd. And Vintage Bullion DMC investor protection violation2021$100,000
Easterday Ranches, Inc. investor protection violation2021$263,008,042
Golden Signals LLC investor protection violation2022$2,613,276
Mondelez GlobalMondelez Internationalfood productsinvestor protection violation2022$16,000,000
Fintech Investment Group Inc. andCompcoin LLC investor protection violation2022$1,800,000
ED&F Man Capital Markets, Ltd. investor protection violation2022$3,250,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2022$1,010,828
Starberry Limited investor protection violation2022$1,376,206
Glencore International A.G.Glencorefinancial servicesprice-fixing or anti-competitive practices2022$1,186,000,000
Berkley Capital Management, LLC et al. investor protection violation2022$6,198,632
Natixis investor protection violation2022$2,800,000
SwapStar Capital LLC investor protection violation2022$5,255,560
Powerline Petroleum, LLC investor protection violation2022$875,000
Financial Tree Trust et al. investor protection violation2022$15,900,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2022$850,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2022$6,000,000
CTAX Series, LLC investor protection violation2022$2,358,661
Prime Agricultural Investors, Inc. investor protection violation2022$563,459
Main & Prospect Capital, LLC investor protection violation2022$7,606,395
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.