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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 Type sort iconYearPenalty Amount
Longboat Global Funds Management investor protection violation2007$10,317,183
New York Options Exchange, Tahoe Futures, International Energy Exchange, Vitol Capital Management,New York Petroleum Option Exchange, HPR Commodities, investor protection violation2007$15,524,957
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2007$175,000
Worldwide Forex, Inc. and Worldwide Commodity Corp. investor protection violation2007$4,200,000
American Energy Exchange and York Commodities investor protection violation2007$3,652,788
Liberty Financial Trading Corp., Inc. and Liberty Real Assets Investment Corporation investor protection violation2007$16,403,000
Century Maxim Fund and AJR Capital investor protection violation2007$22,500,000
Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc. investor protection violation2007$21,819,785
Man Financial Inc. investor protection violation2007$316,900
Premium Income Corp. investor protection violation2007$123,000,000
Acceleration Capital, LLC investor protection violation2007$218,000
Falco & Stevens, Inc. investor protection violation2007$4,724,607
Emerald Worldwide Holdings, Inc. investor protection violation2006$3,433,721
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services investor protection violation2006$19,555,041
Worldwide Commodity Corporation and South Coast Commodities, Inc. investor protection violation2006$14,700,000
Axess Trading Co., Inc. investor protection violation2006$569,437
International Investments Holdings Corp. investor protection violation2006$12,120,000
Risk Capital Trading Group, Inc investor protection violation2006$22,000,000
COES FX Clearing, Inc. investor protection violation2006$246,601
Nexgen Software Systems, Inc. investor protection violation2006$20,000
Wall Street Underground, Inc. investor protection violation2006$9,500,000
First American Investment Services, Inc. investor protection violation2006$8,983,388
Shell International Trading and Shipping Co.Shell PLCoil and gasinvestor protection violation2006$200,000
Veras Investment Partners, LLC investor protection violation2005$500,000
Trade Exchange Network Limited investor protection violation2005$150,000
Credit Lyonnais Rouse LimitedCredit Agricolefinancial servicesinvestor protection violation2005$85,000
Armajaro Trading Limited investor protection violation2005$35,000
Warenhandelsgesellschaft Corinth, m.b.H. investor protection violation2005$25,000
Allegheny Gulf Investments, Inc investor protection violation2005$440,000
Hencorp Becstone Futures LC investor protection violation2005$50,000
E Net Speculation Ltd. investor protection violation2004$50,000
Credit Lyonnais Rouse LimitedCredit Agricolefinancial servicesinvestor protection violation2004$25,000
Fimat International Banque SA investor protection violation2004$25,000
Refco Overseas Limited investor protection violation2004$25,000
World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc. investor protection violation2004$7,520,580
United Energy, Inc. investor protection violation2004$20,000
Western Gas Resources, Inc. investor protection violation2004$7,000,000
International Financial Services (New York) LLC investor protection violation2004$100,000,000
Barry Callebaut Sourcing AGBarry Callebautfood productsinvestor protection violation2004$25,000
Olam International LimitedOlam Groupagribusinessinvestor protection violation2004$20,000
Calpine Energy Services, L.P.Energy Capital Partnersprivate equity (including portfolio companies)investor protection violation2004$1,500,000
Boston Trading Advisors, LLC investor protection violation2003$10,000
Republic New York Securities CorporationHSBCfinancial servicesinvestor protection violation2001$5,000,000
Currency Trading Systems investor protection violation2001$1,521,000
Peregrine Financial Group, Inc. investor protection violation2000$90,000
Farmers Cooperative Company investor protection violation2000$100,000
Sogemin Metals Inc. investor protection violation2000$500,000
First Options of Chicago, Inc. investor protection violation2000$163,000
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
JSC VTB Bank investor protection violation2016$5,000,000
Advantage Futures LLC investor protection violation2016$1,500,000
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
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
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
Copersucar Trading A.V.V. investor protection violation2017$300,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupfinancial servicesinvestor protection violation2017$600,000
INTL FCStone Financial Inc.StoneX Groupfinancial servicesinvestor protection violation2017$280,000
Statoil ASAEquinoroil and gasinvestor protection violation2017$4,000,000
Cargill Inc.Cargillagribusinessinvestor protection violation2017$10,000,000
Arab Global Commodities DMCC investor protection violation2017$300,000
Logista Advisors LLC investor protection violation2017$250,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2017$500,000
Tillage Commodities, LLC investor protection violation2017$150,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2017$2,500,000
Mintco LLC investor protection violation2017$250,000
FTS Financial, Inc. investor protection violation2017$4,800,000
AMP Global Clearing LLC investor protection violation2018$100,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2018$1,600,000
UBS AGUBSfinancial servicesinvestor protection violation2018$15,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$30,000,000
Williams Advisory Group, LLC investor protection violation2018$19,450,034
Maverick International, Inc. investor protection violation2018$8,605,274
Madigan Enterprises, Inc. et al. investor protection violation2018$3,589,913
Glencore Agriculture B.V., investor protection violation2018$2,000,000
R.J. O'Brien & Associates LLC investor protection violation2018$600,000
Intrade The Prediction Market Limited (Intrade) and Trade Exchange Network Limited investor protection violation2018$3,000,000
Tallinex investor protection violation2018$10,971,279
Lansing Trade Group, LLCAndersons Inc.wholesalersinvestor protection violation2018$3,400,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.