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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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Plutus Financial, Inc. d/b/a Abra investor protection violation2020$150,000
Pishon Holding LLC investor protection violation2019$1,259,317
Pioneer Futures Inc. data submission deficiencies2007$25,000
Pinnacle Forex Group LLC investor protection violation2014$819,378
Pinemore, L.P. (Pinemore) and Birchmore, L.P. investor protection violation2010$500,000
Phillips Investment & Trust LLC and Corporate I Communications & Technology Inc. investor protection violation2015$234,500
Phillip Capital Inc. privacy violation2019$1,500,000
Philadelphia Alternative Asset Management Co. investor protection violation2008$8,800,000
Phaetra Capital GP LLC, Phaetra Capital Management LP, and Argenta Group LLC investor protection violation2018$23,117,551
PGS Capital Wealth Management of Sherman Oaks, California, PGS Capital Credit, Inc. investor protection violation2014$462,727
Persistent Edge Management, LLC investor protection violation2008$120,000
Perfection PR Firm LLC investor protection violation2020$1,296,572
Peregrine Financial Group, Inc. investor protection violation2000$90,000
Peak Capital Management Group, Inc. investor protection violation2014$1,600,000
Payward Ventures, Inc. d/b/a Kraken investor protection violation2021$1,250,000
PassThrough Investments, LLC investor protection violation2012$1,100,000
Parnon Energy Inc., Arcadia Petroleum Ltd., and Arcadia Energy (Suisse) SA investor protection violation2014$13,000,000
Paramount Metals Exchange and Paramount Credit investor protection violation2015$2,595,946
Paramount Management, LLC investor protection violation2013$2,400,000
Paradigm Capital Management LLC data submission deficiencies2008$75,000
Panther Energy Trading LLC investor protection violation2013$2,800,000
Pan American Metals of Miami and Pan American Metals of Miami Beach investor protection violation2013$4,700,000
Palm Beach Capital LLC investor protection violation2014$520,960
Oxford Capital investor protection violation2014$3,519,309
Otkritie Capital International, Ltd. investor protection violation2016$140,000
OTC Europe LLP investor protection violation2020$120,000
Opyn, Inc. investor protection violation2023$250,000
Optiver Holding BV investor protection violation2012$14,000,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2024$1,000,000
Open E Cry, LLC investor protection violation2012$250,000
ONEOK Inc.Oneokpipelinesdata submission deficiencies2004$3,000,000
One World Capital Group investor protection violation2010$520,000
Omega Knight 2, LLC investor protection violation2019$15,257,028
Olam International Ltd. and Olam Americas Inc.Olam Groupagribusinessinvestor protection violation2015$3,000,000
Olam International LimitedOlam Groupagribusinessinvestor protection violation2004$20,000
Oden Capital Management, LLC investor protection violation2017$100,000
Oasis International Group et al. investor protection violation2023$53,270,336
OANDA Corporation investor protection violation2020$500,000
NRG Energy, Inc.NRG Energyutilities and power generationdata submission deficiencies2007$2,000,000
Northstar International Group, Inc. investor protection violation2011$11,000,000
Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2019$1,000,000
North Hills Management LLC investor protection violation2015$26,000,000
North American Asset Management, LLC investor protection violation2017$1,626,189
Nord Capital Advisors LLC investor protection violation2015$280,000
Nomura SecuritiesNomurafinancial servicesinvestor protection violation2022$50,000,000
Noble Americas Corp.Vitolfinancial servicesinvestor protection violation2010$130,000
Nexgen Software Systems, Inc. investor protection violation2006$20,000
Newport Private Capital LLC investor protection violation2018$315,000
Newedge USA, LLC investor protection violation2012$700,000
Newedge USA, LLC investor protection violation2011$220,000
Newbridge Metals, LLC investor protection violation2013$1,500,000
Newbridge Alliance, Inc. and United States Capital Trust, LLC investor protection violation2014$3,381,179
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
New York Mercantile Exchange (NYMEX) investor protection violation2020$4,000,000
New World Holdings LLC investor protection violation2014$50,000
New Golden Investment Group investor protection violation2011$8,000,000
New Century Investment Management LLC investor protection violation2014$5,700,000
Negus Capital Incorporated investor protection violation2021$1,178,180
Nawabi Enterprise and Hyperion Consulting Inc. investor protection violation2024$9,000,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2018$750,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2019$850,000
Natixis investor protection violation2022$2,800,000
National Equity Holdings, Inc. investor protection violation2013$3,600,000
Myers, Arnold, Davidson, Inc. and Cooper, Thomas, Unger, Inc. fraud2002$229,615
My Global Leverage, LLC investor protection violation2016$1,465,528
MXBK Group S.A. de C.V. and MBFX S.A. investor protection violation2013$57,000,000
Multigrain SA and Agricola Xingu SA investor protection violation2014$500,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014$280,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014$490,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2012$200,000
Morgan Stanley Capital Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
Morgan Stanley Capital Group Inc.Morgan Stanleyfinancial servicesinvestor protection violation2019$1,500,000
Morgan Stanley Capital GroupMorgan Stanleyfinancial servicesinvestor protection violation2014$200,000
Morgan Stanley Capital GroupMorgan Stanleyfinancial servicesdata submission deficiencies2010$14,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2015$300,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2012$5,000,000
Morgan StanleyMorgan Stanleyfinancial servicesdata submission deficiencies2017$350,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2017$500,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2022$75,000,000
Moore Capital Management, LP investor protection violation2010$25,000,000
Monex Deposit Company et al. investor protection violation2022$38,000,000
Mondelez GlobalMondelez Internationalfood productsprice-fixing or anti-competitive practices2019$8,000,000
Mondelez GlobalMondelez Internationalfood productsinvestor protection violation2022$16,000,000
Mobius Risk Group LLC investor protection violation2018$75,000
Mizuho Securities USA Inc.Mizuho Financialfinancial servicesdata submission deficiencies2013$175,000
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2021$1,500,000
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2023$6,847,182
Mizuho Bank, Ltd.Mizuho Financialfinancial servicesinvestor protection violation2018$250,000
Mitsubishi International CorporationMitsubishi Corporationdiversifiedinvestor protection violation2019$400,000
Mitsubishi Corporation RtM Japan Ltd.Mitsubishi Corporationdiversifiedinvestor protection violation2019$500,000
Mirror Trading International Proprietary Limited investor protection violation2023$1,700,000,000
Mirant Americas Energy Marketing LPNRG Energyutilities and power generationprice-fixing or anti-competitive practices2004$12,500,000
Mirae Asset Daewoo Co., Ltd. investor protection violation2020$700,000
Mintco LLC investor protection violation2017$250,000
Millenium Trading Group, LLC investor protection violation2007$3,861,516
Midwest Metals Exchange investor protection violation2015$522,852
Midwest Land & Livestock, Inc., SKV Farms Inc. and DCV Farms, Inc. investor protection violation2011$382,000
Midway Trading Company, LLC and Conquest Investment Group, Inc. investor protection violation2012$1,400,000
MF Global Inc. investor protection violation2009$10,000,000
MF Global Inc. investor protection violation2007$2,000,000
MF Global Holdings Ltd. investor protection violation2014$1,312,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.