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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
First Options of Chicago, Inc. investor protection violation2000$163,000
First Lexington Group investor protection violation2008$2,466,063
First Capitol Futures Group investor protection violation2010$20,300,000
First Capital Savings and Loan investor protection violation2011$4,500,000
First American Investment Services, Inc. investor protection violation2006$8,983,388
Fintech Investment Group Inc. andCompcoin LLC investor protection violation2022$1,800,000
Financial Tree Trust et al. investor protection violation2022$15,900,000
Financial Robotics, Inc. investor protection violation2014$2,481,000
Financial Investments, Inc. investor protection violation2010$130,000
Financial Instruments Ltd. investor protection violation2012$140,000
Fimat International Banque SA investor protection violation2004$25,000
FCStone, LLC and Commodity Operations Inc.StoneX Groupfinancial servicesinvestor protection violation2012$260,000
FCStone, LLCStoneX Groupfinancial servicesinvestor protection violation2015$140,000
FCStone LLCStoneX Groupfinancial servicesinvestor protection violation2013$1,500,000
Farr Financial Inc. investor protection violation2012$280,000
Farmers Cooperative Company investor protection violation2000$100,000
Falco & Stevens, Inc. investor protection violation2007$4,724,607
Fabio Bretas de Freitas and Phy Capital Investments LLC investor protection violation2019$22,986,190
Executive Management Advisors L.L.C. investor protection violation2015$31,000,000
Executive Commodity Corp. investor protection violation2008$23,910,000
Essex Futures investor protection violation2019$500,000
Equinox Fund Management LLC investor protection violation2016$5,654,004
EOX Holdings LLC investor protection violation2020$120,000
Entergy Koch Trading, L.P.Entergyutilities and power generationdata submission deficiencies2004$3,000,000
Enskilda Futures Ltd. investor protection violation2011$150,000
Enskilda Futures Limited investor protection violation2013$125,000
Enserco Energy, Inc. price-fixing or anti-competitive practices2003$3,000,000
Enron Corp. price-fixing or anti-competitive practices2004$35,000,000
Enfinium Pty Ltd investor protection violation2012$80,000
Energy Transfer Partners, L.P.Energy Transferpipelinesprice-fixing or anti-competitive practices2008$10,000,000
Empires Consulting Corp. investor protection violation2024$64,356,794
Emini Experts, LLC and Capital Trading Concepts LLC investor protection violation2016$2,795,901
EMF Financial Products, LLC investor protection violation2009$4,000,000
Emerald Worldwide Holdings, Inc. investor protection violation2006$3,433,721
Elsworth Berg Capital Management LLC, Elsworth Berg Inc., and Elsworth Berg FX LLC investor protection violation2012$5,400,000
Elite Management Holdings Corp. and MJM Enterprises LLC investor protection violation2014$10,000,000
Elephas Investment Management Ltd. investor protection violation2019$160,000
El Paso Merchant Energy, L.P.Kinder Morganpipelinesprice-fixing or anti-competitive practices2003$20,000,000
EJS Capital Management fraud2017$11,600,000
Edge Financial Technologies, LLC investor protection violation2020$145,200
ED&F Man Capital Markets, Ltd. investor protection violation2022$3,250,000
Ecoval Dairy Trade, Inc. investor protection violation2011$1,425,000
Easterday Ranches, Inc. investor protection violation2021$263,008,042
EagleEye Asset Management investor protection violation2013$600,000
Eagle Market Makers, Inc. investor protection violation2019$350,000
Eagle Market Makers Inc. investor protection violation2012$223,000
E-Slate, Inc. investor protection violation2018$11,183,497
E-Metal Merchants, Inc. investor protection violation2008$9,042,241
E*TRADE Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2017$280,000
e prime, Inc.Xcel Energyutilities and power generationprice-fixing or anti-competitive practices2004$16,000,000
E Net Speculation Ltd. investor protection violation2004$50,000
Dynegy Marketing & Trade (Dynegy) and West Coast Power LLCVistra Energyutilities and power generationprice-fixing or anti-competitive practices2002$5,000,000
Duke Energy Trading and Marketing, L.L.C.Duke Energyutilities and power generationprice-fixing or anti-competitive practices2003$28,000,000
Draven, LLC fraud2017$1,487,964
Double Eagle Enterprises, LLC investor protection violation2015$700,000
Dominion Resources, Inc.Dominion Energyutilities and power generationdata submission deficiencies2006$4,250,000
Direct Investment Products, Inc. investor protection violation2015$3,851,633
Dinar Corp., Inc. and My Monex, Inc. investor protection violation2020$22,600,000
Digital Platinum Limited investor protection violation2021$6,000,000
Diamond Ventures LLC investor protection violation2011$4,000,000
DG Wealth Management investor protection violation2016$17,499,623
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesprice-fixing or anti-competitive practices2018$70,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2020$1,250,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesaccounting fraud or deficiencies2014$3,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$30,000,000
Deutsche Bank AGDeutsche Bankfinancial servicesdata submission deficiencies2015$2,500,000
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2020$9,000,000
Deutsche BankDeutsche Bankfinancial servicesprice-fixing or anti-competitive practices2015$800,000,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2022$75,000,000
Deridex, Inc. investor protection violation2023$100,000
Denari Capital, LLC investor protection violation2021$3,663,282
Demuzio Capital Management, LLC investor protection violation2012$3,000,000
DeBrink Trading Fund I, LLC fraud2016$910,000
Dearborn Trading, Inc. investor protection violation2011$180,000
DCAST Capital Investments LLCandFive Traders LLC investor protection violation2023$16,087,440
Davisco Foods International, Inc.Agropurfood productsinvestor protection violation2017$150,000
DARMA, LLC investor protection violation2023$150,000
Daniels Trading Group LLC investor protection violation2011$2,000,000
Dairy Farmers of America, Inc.Dairy Farmers of America (DFA)food productsinvestor protection violation2008$12,000,000
D.E. Shaw & Co. L.P. investor protection violation2012$140,000
Cypress Wealth Management, Inc. investor protection violation2016$430,764
Cyber Market Group LLC investor protection violation2011$500,000
CX Futures Exchange, L.P. investor protection violation2022$6,500,000
Currency Trading Systems investor protection violation2001$1,521,000
Cunningham Commodities, LLC investor protection violation2016$150,000
Cunningham Commodities, LLC investor protection violation2020$250,000
CTS Financial Publishing, Inc. consumer protection violation2001$220,000
CTI Group LLC and Cooper Trading investor protection violation2014$29,000,000
CTAX Series, LLC investor protection violation2022$2,358,661
CSG Commodity Service Group investor protection violation2012$1,200,000
CRW Management LP investor protection violation2011$19,000,000
Crossfire Trading, LLC investor protection violation2011$84,000,000
Cromwell Financial Services, Inc. investor protection violation2007$18,400,000
Credit SuisseUBSfinancial servicesinvestor protection violation2016$665,000
Credit SuisseUBSfinancial servicesinvestor protection violation2021$1,500,000
Credit SuisseUBSfinancial servicesinvestor protection violation2022$75,000,000
Credit Lyonnais Rouse LimitedCredit Agricolefinancial servicesinvestor protection violation2005$85,000
Credit Lyonnais Rouse LimitedCredit Agricolefinancial servicesinvestor protection violation2004$25,000
CRE Capital Corp. investor protection violation2010$25,700,000
Crabapple Capital Group LLC investor protection violation2012$2,600,000
Coral Energy Resources, L.P. data submission deficiencies2004$30,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.