Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Agency Summary Page

Agency Name: Commodity Futures Trading Commission
Penalty Total since 2000: $18,136,844,099
Number of Records: 776
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Zurich Futures and Options, Inc investor protection violation2009$5,429,196
Zulutrade Inc. investor protection violation2014$150,000
Ztegrity, Inc. investor protection violation2022$943,570
Zilmil, Inc. investor protection violation2019$22,854,289
ZeroEx, Inc. investor protection violation2023$200,000
York Business Associates LLC d/b/a TransAct Futures investor protection violation2012$199,000
Yellowstone Partners, Inc. investor protection violation2011$1,600,000
XP Investments US, LLC investor protection violation2022$500,000
XBT Corp. SARL d/b/a First Global Credit investor protection violation2019$100,000
X-Change Financial Access LLC investor protection violation2018$150,000
Wright Time Capital Group LLC investor protection violation2018$1,485,000
Worth Group Inc. investor protection violation2016$2,500,000
Worth Asset Management investor protection violation2014$6,200,000
Worldwide Forex, Inc. and Worldwide Commodity Corp. investor protection violation2007$4,200,000
Worldwide Commodity Corporation and South Coast Commodities, Inc. investor protection violation2006$14,700,000
Worldwide Clearing, LLC investor protection violation2007$3,692,516
WorldPMX, Inc. investor protection violation2014$1,100,000
World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc. investor protection violation2004$7,520,580
Winsome Investment Trust and US Ventures investor protection violation2014$44,000,000
Winell Associates, Inc. and Maxie Partners GP, LLC investor protection violation2011$5,200,000
Windsor Brokers, Ltd. investor protection violation2012$140,000
Williams Advisory Group, LLC investor protection violation2018$19,450,034
Western Gas Resources, Inc. investor protection violation2004$7,000,000
Welther Oaks, LLC investor protection violation2022$441,232
Wells Fargo Bank, N.A.Wells Fargofinancial servicesdata submission deficiencies2016$400,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesinvestor protection violation2019$14,475,000
Wells FargoWells Fargofinancial servicesinvestor protection violation2023$75,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023$6,000,000
WD Energy Services, Inc price-fixing or anti-competitive practices2003$20,000,000
Warenhandelsgesellschaft Corinth, m.b.H. investor protection violation2005$25,000
Walsh Trading Inc. investor protection violation2009$50,000
Walleye Capital LLC investor protection violation2022$550,000
Wall Street Underground, Inc. investor protection violation2006$9,500,000
Wall Street Pirate Management, LLC investor protection violation2017$125,000
W Resources LLC investor protection violation2017$150,000
VOS Capital Management, LLC investor protection violation2020$3,813,875
Vitol Inc. and Vitol Capital Management Ltd.Vitolfinancial servicesinvestor protection violation2010$6,000,000
Vitol Inc.Vitolfinancial servicesfraud2020(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
Vision Financial Partners, LLC investor protection violation2017$6,527,130
Vision Financial Markets LLC investor protection violation2013$525,000
Vision Financial Markets LLC investor protection violation2013$140,000
Vision Financial Markets LLC investor protection violation2019$200,000
Virtual Vision Inc. investor protection violation2012$1,000,000
Victory Asset investor protection violation2018$1,800,000
VFRS LLC investor protection violation2013$3,200,000
Vertical Integration Group LLC investor protection violation2014$3,120,688
Veras Investment Partners, LLC investor protection violation2005$500,000
Venture Capital Investments LLC investor protection violation2020$900,604
Velocity Futures, LLC investor protection violation2013$300,000
Velocity Futures, LLC investor protection violation2011$180,000
Vault Options, Ltd. and Global Trader 365 investor protection violation2016$4,587,371
Vasquez Global Investments, LLC investor protection violation2014$1,326,224
Upstream Energy Services LLC investor protection violation2019$75,000
United States Commodity Funds LLC investor protection violation2021$2,500,000
United Energy, Inc. investor protection violation2004$20,000
United Business Servicing fraud2017$4,941,157
UBS SecuritiesUBSfinancial servicesdata submission deficiencies2010$200,000
UBS Fund Advisor, LLCUBSfinancial servicesdata submission deficiencies2009$50,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2014$290,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2012$700,000,000
UBS AGUBSfinancial servicesinvestor protection violation2010$130,000
UBS AGUBSfinancial servicesinvestor protection violation2018$15,000,000
UBS AGUBSfinancial servicesinvestor protection violation2021$500,000
UBS AGUBSfinancial servicesinvestor protection violation2022$75,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2015$18,000,000
Tyson Foods, Inc.Tyson Foodsfood productsinvestor protection violation2021$1,500,000
Tyche Asset Management LLC et al. investor protection violation2023$21,308,692
Tunney & Associates, P.C. investor protection violation2014$100,000
Tullett Prebon Americas Inc. investor protection violation2019$13,000,000
TRP Advisory Group, Inc. and Traders East, Inc. investor protection violation2010$150,000
Triland USA Inc. investor protection violation2010$725,000
Trigon Group, Inc. investor protection violation2012$20,600,000
Trigon Group LLC investor protection violation2010$41,200,000
Treasury Vault, LLC investor protection violation2019$75,000
Trans Global Investments, LLC investor protection violation2013$340,000
Tradewale LLC and Tradewale Managed Fund investor protection violation2023$2,853,810
Trader's International Return Network investor protection violation2013$22,800,000
TradeMasters USA, LLC investor protection violation2018$674,504
Trade, LLC investor protection violation2013$39,800,000
Trade Exchange Network Limited investor protection violation2005$150,000
tpSEF, Inc. investor protection violation2022$850,000
Tower Research Capital LLC investor protection violation2019$67,493,849
TOTE Fund LLC and MJS Capital Management LLC investor protection violation2015$871,439
Total Gas & Power North America, Inc.TotalEnergies SEoil and gasinvestor protection violation2015$3,600,000
Total Call Group, Inc. investor protection violation2012$4,800,000
Tillage Commodities, LLC investor protection violation2017$150,000
Thirteen Thirty-Two, Inc. investor protection violation2010$860,000
The Yorkshire Group, Inc. investor protection violation2016$1,569,801
The Williams Companies, Inc.Williams Companiesoil and gasdata submission deficiencies2003$20,000,000
The Tulving Company, Inc. investor protection violation2019$15,761,432
The Trade Tech Institute, Inc. and Technology Trading International, Inc. investor protection violation2012$15,759,357
The Options Clearing Corporation investor protection violation2023$5,000,000
The Linn Group, Inc. investor protection violation2013$400,000
The Liberty Mutual Group, Inc., Addison Financial Group, Inc., Addison Management Group, Inc., Hamlin Mercer Group, Inc., and Colfax Management Group, investor protection violation2008$12,000,000
The Kane Capital Investment Group, LLC investor protection violation2019$1,232,510
The Borrowing Station, LLC investor protection violation2013$600,000
The Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2020$50,000,000
The Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2020$77,400,000
The Alista Group, LLC investor protection violation2021$2,242,162
TFS-ICAP LLC and TFS-ICAP Ltd. investor protection violation2020$7,000,000
Tether Holdings Limited et al. investor protection violation2021$41,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.