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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 TypeYear sort iconPenalty Amount
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
Phillip Capital Inc. privacy violation2019$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$300,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2019$1,000,000
AMP Global Clearing LLC investor protection violation2018$100,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesprice-fixing or anti-competitive practices2018$70,000,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2018$1,600,000
UBS AGUBSfinancial servicesinvestor protection violation2018$15,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$30,000,000
Williams Advisory Group, LLC investor protection violation2018$19,450,034
Maverick International, Inc. investor protection violation2018$8,605,274
Madigan Enterprises, Inc. et al. investor protection violation2018$3,589,913
Glencore Agriculture B.V., investor protection violation2018$2,000,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesprice-fixing or anti-competitive practices2018$90,000,000
R.J. O'Brien & Associates LLC investor protection violation2018$600,000
Intrade The Prediction Market Limited (Intrade) and Trade Exchange Network Limited investor protection violation2018$3,000,000
Tallinex investor protection violation2018$10,971,279
Lansing Trade Group, LLCAndersons Inc.wholesalersinvestor protection violation2018$3,400,000
TradeMasters USA, LLC investor protection violation2018$674,504
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesprice-fixing or anti-competitive practices2018$65,000,000
All City Investments, LLC investor protection violation2018$670,912
Societe Generale S.A.Societe Generalefinancial servicesprice-fixing or anti-competitive practices2018$475,000,000
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
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
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
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
EJS Capital Management fraud2017$11,600,000
CNCGC Hong Kong Ltd data submission deficiencies2017$150,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$900,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$25,000,000
E*TRADE Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2017$280,000
Davisco Foods International, Inc.Agropurfood productsinvestor protection violation2017$150,000
Vision Financial Partners, LLC investor protection violation2017$6,527,130
Oden Capital Management, LLC investor protection violation2017$100,000
Forex Capital Markets, LLCJefferies Financial Groupdiversifiedinvestor protection violation2017$7,000,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2017$85,000,000
Guardian Asset Group, LLC investor protection violation2017$1,086,033
MakeYourFuture, LLC investor protection violation2017$1,207,294
Billionaire Investor Group, The Toole Group Inc., and?Catalyst Traders LLC investor protection violation2017$493,141
Assurance Capital Management, LLC investor protection violation2017$1,969,165
Rosenthal Collins Capital Markets, LLC investor protection violation2017$5,000,000
Marbury Advisors Inc. investor protection violation2017$4,441,652
Huafu HK Co. Ltd. investor protection violation2017$225,000
Wall Street Pirate Management, LLC investor protection violation2017$125,000
McVean Trading & Investments, LLC investor protection violation2017$1,500,000
North American Asset Management, LLC investor protection violation2017$1,626,189
K.B. Concepts Group, LLC investor protection violation2017$607,955
W Resources LLC investor protection violation2017$150,000
Ikon Global Markets Inc. data submission deficiencies2017$200,000
Copersucar Trading A.V.V. investor protection violation2017$300,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupfinancial servicesinvestor protection violation2017$600,000
INTL FCStone Financial Inc.StoneX Groupfinancial servicesinvestor protection violation2017$280,000
Statoil ASAEquinoroil and gasinvestor protection violation2017$4,000,000
Draven, LLC fraud2017$1,487,964
Cargill Inc.Cargillagribusinessinvestor protection violation2017$10,000,000
Morgan StanleyMorgan Stanleyfinancial servicesdata submission deficiencies2017$350,000
Arab Global Commodities DMCC investor protection violation2017$300,000
Logista Advisors LLC investor protection violation2017$250,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2017$500,000
Tillage Commodities, LLC investor protection violation2017$150,000
Citibank N.A.Citigroupfinancial servicesdata submission deficiencies2017$550,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2017$2,500,000
Mintco LLC investor protection violation2017$250,000
FTS Financial, Inc. investor protection violation2017$4,800,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.