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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
Argent Asset Group LLC and First State Depository Company, LLC investor protection violation2023$145,700,000
Challenger Life Company Limited investor protection violation2023$150,000
Bryant Capital Trade Management Corporation investor protection violation2023$250,655
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023$6,000,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2023$75,000,000
Societe GeneraleSociete Generalefinancial servicesinvestor protection violation2023$75,000,000
Wells FargoWells Fargofinancial servicesinvestor protection violation2023$75,000,000
Bank of MontrealBank of Montrealfinancial servicesinvestor protection violation2023$35,000,000
Bluprint LLC investor protection violation2023$8,863,753
Deridex, Inc. investor protection violation2023$100,000
Mirror Trading International Proprietary Limited investor protection violation2023$1,700,000,000
Opyn, Inc. investor protection violation2023$250,000
ZeroEx, Inc. investor protection violation2023$200,000
BareIt Media LLC investor protection violation2023$100,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2023$5,500,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$30,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2023$15,000,000
Bank of America, N.A.Bank of Americafinancial servicesinvestor protection violation2023$8,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$3,000,000
Interactive Brokers Corp. and Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2023$20,000,000
Highland Quantitative Driven Investments LLC investor protection violation2023$476,206
Advantage Futures LLC investor protection violation2023$395,000
StoneX Markets LLCStoneX Groupfinancial servicesinvestor protection violation2023$650,000
Binance Holdings Limited et al.Binance Holdingsfinancial servicesinvestor protection violation2023(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000
Tyche Asset Management LLC et al. investor protection violation2023$21,308,692
Tradewale LLC and Tradewale Managed Fund investor protection violation2023$2,853,810
Oasis International Group et al. investor protection violation2023$53,270,336
Justby International Auctions investor protection violation2023$5,352,843
Highrise Advantage, LLC. investor protection violation2023$102,234,376
Freepoint Commodities LLC investor protection violation2023$91,000,000
Simply Gains, Inc.  investor protection violation2024$830,000
Nawabi Enterprise and Hyperion Consulting Inc. investor protection violation2024$9,000,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2024$500,000
U.S. Bank, N.A.U.S. Bancorpfinancial servicesinvestor protection violation2024$6,000,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2024$1,000,000
Empires Consulting Corp. investor protection violation2024$64,356,794
Blue Moon Investments Inc. investor protection violation2024$204,622,580
CitigroupCitigroupfinancial servicesprice-fixing or anti-competitive practices2016$175,000,000
CitibankCitigroupfinancial servicesprice-fixing or anti-competitive practices2016$250,000,000
BarclaysBarclaysfinancial servicesprice-fixing or anti-competitive practices2015$400,000,000
BarclaysBarclaysfinancial servicesprice-fixing or anti-competitive practices2015$115,000,000
Deutsche BankDeutsche Bankfinancial servicesprice-fixing or anti-competitive practices2015$800,000,000
CitibankCitigroupfinancial servicesprice-fixing or anti-competitive practices2014$310,000,000
HSBC BankHSBCfinancial servicesprice-fixing or anti-competitive practices2014$275,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesprice-fixing or anti-competitive practices2014$310,000,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2014$290,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2014$290,000,000
Lloyds Banking Group plcLloyds Banking Groupfinancial servicesprice-fixing or anti-competitive practices2014$105,000,000
RabobankRabobankfinancial servicesprice-fixing or anti-competitive practices2013$475,000,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2013$325,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2012$700,000,000
Barclays PLCBarclaysfinancial servicesprice-fixing or anti-competitive practices2012$200,000,000
Amaranth Advisors, L.L.C. and Amaranth Advisors (Calgary) ULC price-fixing or anti-competitive practices2009$7,500,000
Energy Transfer Partners, L.P.Energy Transferpipelinesprice-fixing or anti-competitive practices2008$10,000,000
BP Products North America Inc.BPoil and gasprice-fixing or anti-competitive practices2007$303,000,000
Marathon Petroleum CompanyMarathon Petroleumoil and gasprice-fixing or anti-competitive practices2007$1,000,000
Concord Energy, LLC price-fixing or anti-competitive practices2007$800,000
Mirant Americas Energy Marketing LPNRG Energyutilities and power generationprice-fixing or anti-competitive practices2004$12,500,000
Enron Corp. price-fixing or anti-competitive practices2004$35,000,000
Aquila Merchant ServicesEvergy Inc.utilities and power generationprice-fixing or anti-competitive practices2004$26,500,000
e prime, Inc.Xcel Energyutilities and power generationprice-fixing or anti-competitive practices2004$16,000,000
CMS Marketing Services & Trading and CMS Field Services price-fixing or anti-competitive practices2003$16,000,000
Reliant Energy Services, Inc.NRG Energyutilities and power generationprice-fixing or anti-competitive practices2003$18,000,000
Duke Energy Trading and Marketing, L.L.C.Duke Energyutilities and power generationprice-fixing or anti-competitive practices2003$28,000,000
Enserco Energy, Inc. price-fixing or anti-competitive practices2003$3,000,000
WD Energy Services, Inc price-fixing or anti-competitive practices2003$20,000,000
El Paso Merchant Energy, L.P.Kinder Morganpipelinesprice-fixing or anti-competitive practices2003$20,000,000
Dynegy Marketing & Trade (Dynegy) and West Coast Power LLCVistra Energyutilities and power generationprice-fixing or anti-competitive practices2002$5,000,000
Avista EnergyAvistautilities and power generationprice-fixing or anti-competitive practices2001$2,100,000
Goldman SachsGoldman Sachsfinancial servicesprice-fixing or anti-competitive practices2016$120,000,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2017$85,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesprice-fixing or anti-competitive practices2018$70,000,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesprice-fixing or anti-competitive practices2018$90,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesprice-fixing or anti-competitive practices2018$65,000,000
Societe Generale S.A.Societe Generalefinancial servicesprice-fixing or anti-competitive practices2018$475,000,000
Bank of America, N.A.Bank of Americafinancial servicesprice-fixing or anti-competitive practices2018$30,000,000
ICAP Capital Markets LLCCME Groupfinancial servicesprice-fixing or anti-competitive practices2018$50,000,000
Kraft FoodsKraft Heinzfood productsprice-fixing or anti-competitive practices2019$8,000,000
Mondelez GlobalMondelez Internationalfood productsprice-fixing or anti-competitive practices2019$8,000,000
Glencore International A.G.Glencorefinancial servicesprice-fixing or anti-competitive practices2022$1,186,000,000
Ceres Global Ag Corp. price-fixing or anti-competitive practices2023$3,000,000
Phillip Capital Inc. privacy violation2019$1,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.