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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
Lansing Trade Group, LLCAndersons Inc.wholesalersinvestor protection violation2018$3,400,000
TradeMasters USA, LLC investor protection violation2018$674,504
All City Investments, LLC investor protection violation2018$670,912
X-Change Financial Access LLC investor protection violation2018$150,000
Cifuentes Fund Management, LLC investor protection violation2018$2,227,120
Algointeractive Inc investor protection violation2018$962,200
Commerzbank AGCommerzbankfinancial servicesinvestor protection violation2018$12,000,000
Gelfman Blueprint, Inc. investor protection violation2018$2,408,734
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2018$800,000
Kooima & Kaemingk Commodities, Inc. investor protection violation2018$13,170,857
Mizuho Bank, Ltd.Mizuho Financialfinancial servicesinvestor protection violation2018$250,000
Geneva Trading USA, LLC investor protection violation2018$1,500,000
Victory Asset investor protection violation2018$1,800,000
Global Asset Advisors LLC d/b/a Daniels Trading investor protection violation2018$300,000
Honouround (HK) International Trade Co. Ltd.? investor protection violation2018$300,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2018$750,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2018$160,000
Mobius Risk Group LLC investor protection violation2018$75,000
1pool Ltd. investor protection violation2019$421,000
Royal Leisure International, Inc. and Gold Chasers, Inc. investor protection violation2019$10,970,756
The Tulving Company, Inc. investor protection violation2019$15,761,432
Pishon Holding LLC investor protection violation2019$1,259,317
Newport Private Capital LLC investor protection violation2018$315,000
Wright Time Capital Group LLC investor protection violation2018$1,485,000
Phaetra Capital GP LLC, Phaetra Capital Management LP, and Argenta Group LLC investor protection violation2018$23,117,551
E-Slate, Inc. investor protection violation2018$11,183,497
Blackbox Pulse, LLC investor protection violation2019$2,712,807
Mark Olsen Mining Company investor protection violation2019$3,631,280
Apuro Holdings Ltd et al. investor protection violation2019$2,243,344
ADM Investor Services Inc.Archer Daniels Midlandagribusinessinvestor protection violation2019$250,000
Eagle Market Makers, Inc. investor protection violation2019$350,000
Elephas Investment Management Ltd. investor protection violation2019$160,000
Essex Futures investor protection violation2019$500,000
Korea Exchange, Inc. investor protection violation2019$150,000
Lucrative Pips Corporation investor protection violation2019$2,694,799
Merrill Lynch Commodities, Inc.Bank of Americafinancial servicesinvestor protection violation2019(*)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
The Kane Capital Investment Group, LLC investor protection violation2019$1,232,510
Vision Financial Markets LLC investor protection violation2019$200,000
Zilmil, Inc. investor protection violation2019$22,854,289
BGC Financial, L.P.BGC Partnersfinancial servicesinvestor protection violation2019$3,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesinvestor protection violation2019$14,475,000
Mitsubishi Corporation RtM Japan Ltd.Mitsubishi Corporationdiversifiedinvestor protection violation2019$500,000
Tower Research Capital LLC investor protection violation2019$67,493,849
Silver Star FX, LLC et al. investor protection violation2019$75,000
Blue Bit Banc et al. investor protection violation2019$3,346,405
XBT Corp. SARL d/b/a First Global Credit investor protection violation2019$100,000
Allied Markets, LLC investor protection violation2019$2,400,000
Omega Knight 2, LLC investor protection violation2019$15,257,028
Upstream Energy Services LLC investor protection violation2019$75,000
Treasury Vault, LLC investor protection violation2019$75,000
Fabio Bretas de Freitas and Phy Capital Investments LLC investor protection violation2019$22,986,190
BGC Financial, LPBGC Partnersfinancial servicesinvestor protection violation2019$15,000,000
GFI Securities, LLCBGC Partnersfinancial servicesinvestor protection violation2019$10,000,000
Mitsubishi International CorporationMitsubishi Corporationdiversifiedinvestor protection violation2019$400,000
Belvedere Trading LLC investor protection violation2019$1,100,000
Morgan Stanley Capital Group Inc.Morgan Stanleyfinancial servicesinvestor protection violation2019$1,500,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesinvestor protection violation2019$300,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2019$750,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2019$850,000
Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2019$1,000,000
Societe Generale International LimitedSociete Generalefinancial servicesinvestor protection violation2019$2,500,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2019$650,000
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
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$300,000
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
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2019$1,000,000
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
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
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.