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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 Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$800,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2016$560,000
Barclays Bank PLCBarclaysfinancial servicesdata submission deficiencies2016$500,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2022$75,000,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2019$750,000
Bank of MontrealBank of Montrealfinancial servicesinvestor protection violation2023$35,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2014$1,200,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$350,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americafinancial servicesdata submission deficiencies2007$500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2017$2,500,000
Bank of America, N.A.Bank of Americafinancial servicesprice-fixing or anti-competitive practices2018$30,000,000
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
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$300,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2022$100,000,000
Bank of America, N.A.Bank of Americafinancial servicesinvestor protection violation2023$8,000,000
Avista EnergyAvistautilities and power generationprice-fixing or anti-competitive practices2001$2,100,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2015$150,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2012$350,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2024$500,000
Alfred C. Toepfer International, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2015$400,000
ADM Investor Services, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2013$425,000
ADM Investor Services, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2009$200,000
ADM Investor Services Inc.Archer Daniels Midlandagribusinessinvestor protection violation2019$250,000
ADM Investor Services Inc.Archer Daniels Midlandagribusinessinvestor protection violation2022$500,000
Lansing Trade Group, LLCAndersons Inc.wholesalersinvestor protection violation2018$3,400,000
American Electric Power Company, Inc. and AEP Energy Services, Inc.American Electric Powerutilities and power generationdata submission deficiencies2005$30,000,000
Davisco Foods International, Inc.Agropurfood productsinvestor protection violation2017$150,000
AG Processing IncAg Processing Inc.agribusinessinvestor protection violation2021$400,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2013$1,000,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2018$160,000
Vault Options, Ltd. and Global Trader 365 investor protection violation2016$4,587,371
Atlantas Group, Inc. investor protection violation2016$7,200,000
Agrocorp International Pte Ltd. investor protection violation2016$150,000
Golden Agri International Pte Ltd. investor protection violation2016$150,000
Tech Power Inc. investor protection violation2016$250,000
DG Wealth Management investor protection violation2016$17,499,623
Emini Experts, LLC and Capital Trading Concepts LLC investor protection violation2016$2,795,901
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc. investor protection violation2016$2,451,568
BFXNA Inc. d/b/a Bitfinex investor protection violation2016$75,000
Cypress Wealth Management, Inc. investor protection violation2016$430,764
Cunningham Commodities, LLC investor protection violation2016$150,000
Galileo Trading LLC investor protection violation2016$1,608,640
Badge Trading LLC investor protection violation2016$280,000
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC investor protection violation2016$4,723,246
Equinox Fund Management LLC investor protection violation2016$5,654,004
IBFX Inc. investor protection violation2016$1,000,000
Banc de Binary Ltd. investor protection violation2016$9,100,000
4X Solutions Inc. investor protection violation2016$10,980,904
Worth Group Inc. investor protection violation2016$2,500,000
Otkritie Capital International, Ltd. investor protection violation2016$140,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. investor protection violation2016$490,246,741
Sharpe Signa, LLC and Haeres Capital, LLC investor protection violation2015$70,000
Sentry Asset Group, LLC d/b/a Sentry Asset Management, LLC investor protection violation2015$378,767
Executive Management Advisors L.L.C. investor protection violation2015$31,000,000
Direct Investment Products, Inc. investor protection violation2015$3,851,633
Pure Reason LLC investor protection violation2015$140,000
American Portfolio Asset Management, Inc. investor protection violation2015$578,474
Global Consortiums LLC investor protection violation2015$589,660
Futures International LLC investor protection violation2015$500,000
Nord Capital Advisors LLC investor protection violation2015$280,000
Phillips Investment & Trust LLC and Corporate I Communications & Technology Inc. investor protection violation2015$234,500
Brunswick Capital LLC and Brunswick Capital Partners LP investor protection violation2015$1,025,039
Black Diamond Capital Solutions LLC, Life Plus Group LLC and Black Diamond Holdings LLC investor protection violation2015$76,000,000
Double Eagle Enterprises, LLC investor protection violation2015$700,000
Libero Commodities SA investor protection violation2015$480,000
Inter-Global Currency & Precious Metals investor protection violation2015$547,342
Hope Advisors LLC investor protection violation2015$100,000
RFF GP LLC and KGW Capital Management LLC investor protection violation2015$7,515,888
North Hills Management LLC investor protection violation2015$26,000,000
Maize Capital Management, LLC and Maize Asset Management, LLC investor protection violation2015$6,702,818
Paramount Metals Exchange and Paramount Credit investor protection violation2015$2,595,946
Midwest Metals Exchange investor protection violation2015$522,852
Gold Coast Bullion Inc. investor protection violation2015$9,690,124
Lions Wealth Holdings, Lions Wealth Services and 20/20 Precious Metals investor protection violation2015$5,388,730
TOTE Fund LLC and MJS Capital Management LLC investor protection violation2015$871,439
Vasquez Global Investments, LLC investor protection violation2014$1,326,224
MF Global Holdings Ltd. investor protection violation2014$1,312,000,000
AlphaMetrix, LLC investor protection violation2014$5,600,000
Champion Management International, LLC investor protection violation2014$2,544,722
IBFX, Inc. investor protection violation2014$600,000
Gold Distributors, Inc. investor protection violation2014$1,349,066
Pinnacle Forex Group LLC investor protection violation2014$819,378
American Bullion Exchange investor protection violation2014$18,000,000
Financial Robotics, Inc. investor protection violation2014$2,481,000
JBW Capital LLC investor protection violation2014$2,860,000
Vertical Integration Group LLC investor protection violation2014$3,120,688
Friedberg Mercantile Group, Inc. investor protection violation2014$70,000
Peak Capital Management Group, Inc. investor protection violation2014$1,600,000
Absa Bank, Ltd. investor protection violation2014$150,000
FXDirectDealer, LLC investor protection violation2014$600,000
WorldPMX, Inc. investor protection violation2014$1,100,000
Zulutrade Inc. investor protection violation2014$150,000
FirstRand Bank, Ltd. investor protection violation2014$150,000
AmeriFirst Management LLC investor protection violation2014$35,000,000
Palm Beach Capital LLC investor protection violation2014$520,960
Parnon Energy Inc., Arcadia Petroleum Ltd., and Arcadia Energy (Suisse) SA investor protection violation2014$13,000,000
Winsome Investment Trust and US Ventures investor protection violation2014$44,000,000
SK Madison Commodities, LLC investor protection violation2014$3,523,846
Hunter Wise investor protection violation2014$108,000,000
Tunney & Associates, P.C. investor protection violation2014$100,000
PGS Capital Wealth Management of Sherman Oaks, California, PGS Capital Credit, Inc. investor protection violation2014$462,727
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.