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 Type sort iconYearPenalty Amount
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. investor protection violation2016$490,246,741
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
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
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
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
ACJ Capital Inc., and Solid View Capital LLC investor protection violation2013$1,500,000
Bentley Equities, LLC investor protection violation2013$2,700,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.