Binance Holdings Limited et al. | Binance Holdings | financial services | investor protection violation | 2023 | (*)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 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | financial services | investor protection violation | 2024 | $500,000 |
U.S. Bank, N.A. | U.S. Bancorp | financial services | investor protection violation | 2024 | $6,000,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2024 | $1,000,000 |
Summit Energy Services Inc. | Schneider Electric | electrical and electronic equipment | investor protection violation | 2015 | $140,000 |
Forex Capital Markets, LLC | Jefferies Financial Group | diversified | investor protection violation | 2015 | $843,922 |
Marubeni America Corporation | Marubeni | diversified | investor protection violation | 2015 | $800,000 |
Forex Capital Markets LLC | Jefferies Financial Group | diversified | investor protection violation | 2011 | $14,200,000 |
Forex Capital Markets Ltd. | Jefferies Financial Group | diversified | investor protection violation | 2011 | $140,000 |
ConAgra Trade Group, Inc. | Marubeni | diversified | investor protection violation | 2010 | $12,000,000 |
Forex Capital Markets, LLC | Jefferies Financial Group | diversified | investor protection violation | 2017 | $7,000,000 |
Mitsubishi Corporation RtM Japan Ltd. | Mitsubishi Corporation | diversified | investor protection violation | 2019 | $500,000 |
Mitsubishi International Corporation | Mitsubishi Corporation | diversified | investor protection violation | 2019 | $400,000 |
Heraeus Metals New York LLC | Heraeus | diversified | investor protection violation | 2019 | $130,000 |
Jefferies Financial Services, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2022 | $30,000,000 |
CHS Inc. | CHS Inc. | agribusiness | investor protection violation | 2016 | $1,000,000 |
Alfred C. Toepfer International, Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2015 | $400,000 |
Cargill de Mexico SA De CV | Cargill | agribusiness | investor protection violation | 2015 | $500,000 |
Olam International Ltd. and Olam Americas Inc. | Olam Group | agribusiness | investor protection violation | 2015 | $3,000,000 |
ADM Investor Services, Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2013 | $425,000 |
Bunge Global Markets, Inc. | Bunge | agribusiness | investor protection violation | 2011 | $550,000 |
ADM Investor Services, Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2009 | $200,000 |
Olam International Limited | Olam Group | agribusiness | investor protection violation | 2004 | $20,000 |
Cargill Inc. | Cargill | agribusiness | investor protection violation | 2017 | $10,000,000 |
ADM Investor Services Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2019 | $250,000 |
CHS, Inc. | CHS Inc. | agribusiness | investor protection violation | 2019 | $500,000 |
AG Processing Inc | Ag Processing Inc. | agribusiness | investor protection violation | 2021 | $400,000 |
Cargill Inc. | Cargill | agribusiness | investor protection violation | 2021 | $750,000 |
ADM Investor Services Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2022 | $500,000 |
CHS Hedging LLC | CHS Inc. | agribusiness | anti-money-laundering deficiencies | 2022 | $6,500,000 |
Vault Options, Ltd. and Global Trader 365 | | | investor protection violation | 2016 | $4,587,371 |
Atlantas Group, Inc. | | | investor protection violation | 2016 | $7,200,000 |
Agrocorp International Pte Ltd. | | | investor protection violation | 2016 | $150,000 |
Golden Agri International Pte Ltd. | | | investor protection violation | 2016 | $150,000 |
Tech Power Inc. | | | investor protection violation | 2016 | $250,000 |
DG Wealth Management | | | investor protection violation | 2016 | $17,499,623 |
Emini Experts, LLC and Capital Trading Concepts LLC | | | investor protection violation | 2016 | $2,795,901 |
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc. | | | investor protection violation | 2016 | $2,451,568 |
BFXNA Inc. d/b/a Bitfinex | | | investor protection violation | 2016 | $75,000 |
Cypress Wealth Management, Inc. | | | investor protection violation | 2016 | $430,764 |
Cunningham Commodities, LLC | | | investor protection violation | 2016 | $150,000 |
Galileo Trading LLC | | | investor protection violation | 2016 | $1,608,640 |
Badge Trading LLC | | | investor protection violation | 2016 | $280,000 |
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC | | | investor protection violation | 2016 | $4,723,246 |
Equinox Fund Management LLC | | | investor protection violation | 2016 | $5,654,004 |
IBFX Inc. | | | investor protection violation | 2016 | $1,000,000 |
Banc de Binary Ltd. | | | investor protection violation | 2016 | $9,100,000 |
4X Solutions Inc. | | | investor protection violation | 2016 | $10,980,904 |
Worth Group Inc. | | | investor protection violation | 2016 | $2,500,000 |
Otkritie Capital International, Ltd. | | | investor protection violation | 2016 | $140,000 |
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. | | | investor protection violation | 2016 | $490,246,741 |
Sharpe Signa, LLC and Haeres Capital, LLC | | | investor protection violation | 2015 | $70,000 |
Sentry Asset Group, LLC d/b/a Sentry Asset Management, LLC | | | investor protection violation | 2015 | $378,767 |
Executive Management Advisors L.L.C. | | | investor protection violation | 2015 | $31,000,000 |
Direct Investment Products, Inc. | | | investor protection violation | 2015 | $3,851,633 |
Pure Reason LLC | | | investor protection violation | 2015 | $140,000 |
American Portfolio Asset Management, Inc. | | | investor protection violation | 2015 | $578,474 |
Global Consortiums LLC | | | investor protection violation | 2015 | $589,660 |
Futures International LLC | | | investor protection violation | 2015 | $500,000 |
Nord Capital Advisors LLC | | | investor protection violation | 2015 | $280,000 |
Phillips Investment & Trust LLC and Corporate I Communications & Technology Inc. | | | investor protection violation | 2015 | $234,500 |
Brunswick Capital LLC and Brunswick Capital Partners LP | | | investor protection violation | 2015 | $1,025,039 |
Black Diamond Capital Solutions LLC, Life Plus Group LLC and Black Diamond Holdings LLC | | | investor protection violation | 2015 | $76,000,000 |
Double Eagle Enterprises, LLC | | | investor protection violation | 2015 | $700,000 |
Libero Commodities SA | | | investor protection violation | 2015 | $480,000 |
Inter-Global Currency & Precious Metals | | | investor protection violation | 2015 | $547,342 |
Hope Advisors LLC | | | investor protection violation | 2015 | $100,000 |
RFF GP LLC and KGW Capital Management LLC | | | investor protection violation | 2015 | $7,515,888 |
North Hills Management LLC | | | investor protection violation | 2015 | $26,000,000 |
Maize Capital Management, LLC and Maize Asset Management, LLC | | | investor protection violation | 2015 | $6,702,818 |
Paramount Metals Exchange and Paramount Credit | | | investor protection violation | 2015 | $2,595,946 |
Midwest Metals Exchange | | | investor protection violation | 2015 | $522,852 |
Gold Coast Bullion Inc. | | | investor protection violation | 2015 | $9,690,124 |
Lions Wealth Holdings, Lions Wealth Services and 20/20 Precious Metals | | | investor protection violation | 2015 | $5,388,730 |
TOTE Fund LLC and MJS Capital Management LLC | | | investor protection violation | 2015 | $871,439 |
Vasquez Global Investments, LLC | | | investor protection violation | 2014 | $1,326,224 |
MF Global Holdings Ltd. | | | investor protection violation | 2014 | $1,312,000,000 |
AlphaMetrix, LLC | | | investor protection violation | 2014 | $5,600,000 |
Champion Management International, LLC | | | investor protection violation | 2014 | $2,544,722 |
IBFX, Inc. | | | investor protection violation | 2014 | $600,000 |
Gold Distributors, Inc. | | | investor protection violation | 2014 | $1,349,066 |
Pinnacle Forex Group LLC | | | investor protection violation | 2014 | $819,378 |
American Bullion Exchange | | | investor protection violation | 2014 | $18,000,000 |
Financial Robotics, Inc. | | | investor protection violation | 2014 | $2,481,000 |
JBW Capital LLC | | | investor protection violation | 2014 | $2,860,000 |
Vertical Integration Group LLC | | | investor protection violation | 2014 | $3,120,688 |
Friedberg Mercantile Group, Inc. | | | investor protection violation | 2014 | $70,000 |
Peak Capital Management Group, Inc. | | | investor protection violation | 2014 | $1,600,000 |
Absa Bank, Ltd. | | | investor protection violation | 2014 | $150,000 |
FXDirectDealer, LLC | | | investor protection violation | 2014 | $600,000 |
WorldPMX, Inc. | | | investor protection violation | 2014 | $1,100,000 |
Zulutrade Inc. | | | investor protection violation | 2014 | $150,000 |
FirstRand Bank, Ltd. | | | investor protection violation | 2014 | $150,000 |
AmeriFirst Management LLC | | | investor protection violation | 2014 | $35,000,000 |
Palm Beach Capital LLC | | | investor protection violation | 2014 | $520,960 |
Parnon Energy Inc., Arcadia Petroleum Ltd., and Arcadia Energy (Suisse) SA | | | investor protection violation | 2014 | $13,000,000 |
Winsome Investment Trust and US Ventures | | | investor protection violation | 2014 | $44,000,000 |
SK Madison Commodities, LLC | | | investor protection violation | 2014 | $3,523,846 |
Hunter Wise | | | investor protection violation | 2014 | $108,000,000 |
Tunney & Associates, P.C. | | | investor protection violation | 2014 | $100,000 |
PGS Capital Wealth Management of Sherman Oaks, California, PGS Capital Credit, Inc. | | | investor protection violation | 2014 | $462,727 |