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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
TFS-ICAP LLC and TFS-ICAP Ltd. investor protection violation2020$7,000,000
Tether Holdings Limited et al. investor protection violation2021$41,000,000
Tenco, Inc. investor protection violation2011$140,000
Tech Power Inc. investor protection violation2016$250,000
TC Credit Service d/b/a Del-Mair Group investor protection violation2012$2,600,000
Tanius Technology, LLC investor protection violation2022$600,000
Tallinex investor protection violation2018$10,971,279
System Capital, LLC investor protection violation2013$840,000
Symphony Communication Services, LLC investor protection violation2021$100,000
SwapStar Capital LLC investor protection violation2022$5,255,560
Supama International DMCC investor protection violation2008$164,680
Sunoco LPEnergy Transferpipelinesinvestor protection violation2020$450,000
Summit Trading & Capital LLC investor protection violation2013$4,800,000
Summit Energy Services Inc.Schneider Electricelectrical and electronic equipmentinvestor protection violation2015$140,000
SummerHaven Investment Management LLC investor protection violation2021$500,000
Sukarne SA de CV investor protection violation2020$35,000
Stuckey Group, L.P., Stuckey Group II, L.P. and Oakwood Development Company, L.P. investor protection violation2012$250,000
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC investor protection violation2016$4,723,246
Strongbow Investments GP, LLC investor protection violation2010$2,800,000
StoneX Markets LLCStoneX Groupfinancial servicesinvestor protection violation2023$650,000
Stillwater Capital Partners, Inc. and Stillwater Capital Partners, LLC investor protection violation2008$135,000
Statoil ASAEquinoroil and gasinvestor protection violation2017$4,000,000
Starberry Limited investor protection violation2022$1,376,206
STA Opus NR LLC fraud2017$4,521,420
SR&B Investment Enterprises, Inc. investor protection violation2023$2,461,877
Spring Mountain Capital, LP data submission deficiencies2009$75,000
Spring Mountain Capital G.P., LLC data submission deficiencies2009$75,000
Southwest Services, L.L.C. investor protection violation2020$740,968
Southwest Group, LLC investor protection violation2020$75,000
Sogemin Metals Inc. investor protection violation2000$500,000
Societe Generale S.A.Societe Generalefinancial servicesprice-fixing or anti-competitive practices2018$475,000,000
Societe Generale S.A.Societe Generalefinancial servicesinvestor protection violation2021$1,500,000
Societe Generale International LimitedSociete Generalefinancial servicesinvestor protection violation2019$2,500,000
Societe GeneraleSociete Generalefinancial servicesdata submission deficiencies2016$450,000
Societe GeneraleSociete Generalefinancial servicesinvestor protection violation2023$75,000,000
SNC Asset Management, Inc. and SNC Investments, Inc. investor protection violation2012$5,000,000
SMP Bank and Epaster Investments, Ltd. investor protection violation2012$980,000
SK Madison Commodities, LLC investor protection violation2014$3,523,846
Simply Gains, Inc.  investor protection violation2024$830,000
Silver Star FX, LLC et al. investor protection violation2019$75,000
Silver Star FX LLC dba Silver Star Live and Silver Star Live Software LLC investor protection violation2021$23,506,392
SHK Management LLC investor protection violation2013$400,000
Shell International Trading and Shipping Co.Shell PLCoil and gasinvestor protection violation2006$200,000
Sheenson Investments, Ltd. investor protection violation2012$1,500,000
Sharpe Signa, LLC and Haeres Capital, LLC investor protection violation2015$70,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2016$750,000
Sentry Asset Group, LLC d/b/a Sentry Asset Management, LLC investor protection violation2015$378,767
Sempra Energy Trading LLCSempra Energyutilities and power generationinvestor protection violation2008$175,000
Scotia Capital Inc.Scotiabankfinancial servicesinvestor protection violation2010$250,000
Saxon Financial Services Inc. investor protection violation2009$4,300,000
San Diego Gas & Electric CompanySempra Energyutilities and power generationinvestor protection violation2010$80,000
Safevest LLC investor protection violation2009$25,000,000
Safeguard 3030 Investment Club investor protection violation2012$3,000,000
Russell Investments Ireland Limited and Russell Investments Cayman Ltd. data submission deficiencies2007$120,000
Rusfeldt Investments LLP investor protection violation2008$2,889,071
Royal Leisure International, Inc. and Gold Chasers, Inc. investor protection violation2019$10,970,756
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2014$290,000,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2013$325,000,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2017$85,000,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesinvestor protection violation2014$35,000,000
Rothlin & Windsor Capital Management, Inc. fraud2002$13,924,051
Rosenthal Collins Group, LLC investor protection violation2012$2,500,000
Rosenthal Collins Group, LLC investor protection violation2008$310,000
Rosenthal Collins Group, L.L.C. investor protection violation2010$1,300,000
Rosenthal Collins Group data submission deficiencies2007$25,000
Rosenthal Collins Capital Markets, LLC investor protection violation2017$5,000,000
Rockwell Asset Management, Inc. investor protection violation2014$477,210
RNS Holdings LP data submission deficiencies2016$389,032
Risk Capital Trading Group, Inc investor protection violation2006$22,000,000
RFF GP LLC and KGW Capital Management LLC investor protection violation2015$7,515,888
Republic New York Securities CorporationHSBCfinancial servicesinvestor protection violation2001$5,000,000
Renaissance Asset Management LLC investor protection violation2009$5,800,000
Reliant Energy Services, Inc.NRG Energyutilities and power generationprice-fixing or anti-competitive practices2003$18,000,000
Refinitiv US SEF LLC investor protection violation2021$650,000
Refco Overseas Limited investor protection violation2004$25,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019$5,000,000
Raleigh Capital Management, Inc. investor protection violation2011$4,000,000
RabobankRabobankfinancial servicesprice-fixing or anti-competitive practices2013$475,000,000
R.J. O'Brien & Associates, LLC investor protection violation2013$300,000
R.J. O'Brien & Associates LLC investor protection violation2013$125,000
R.J. O'Brien & Associates LLC investor protection violation2018$600,000
Queen Shoals, LLC, Queen Shoals II, LLC, and Select Fund, LLC investor protection violation2011$24,000,000
Queen Shoals Consultants, LLC investor protection violation2014$5,760,000
Quantum Financial Network, LLC investor protection violation2022$192,894
Q Wealth Management Inc. investor protection violation2013$5,000,000
Pure Reason LLC investor protection violation2015$140,000
Prudential Securities, Inc.Wells Fargofinancial servicesdata submission deficiencies2002$65,000
Prosperity Team, LLC investor protection violation2012$2,600,000
Progressive Investment Funds LLC investor protection violation2012$700,000
ProfitStars Intl, Corp. investor protection violation2012$280,000
Pro Trading Course, LLC investor protection violation2012$600,000
Princeton Global Management Ltd. and Princeton Economics International Ltd. investor protection violation2009$27,000,000
Prime Agricultural Investors, Inc. investor protection violation2022$563,459
Prestige Ventures Corporation and Federated Management Group, Inc. investor protection violation2010$26,000,000
Prestige Capital Advisors and D2W Capital Management investor protection violation2013$11,700,000
Pressio Capital Management, LP investor protection violation2010$1,000,000
Premium Income Corp. investor protection violation2007$123,000,000
Powerline Petroleum, LLC investor protection violation2022$875,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesinvestor protection violation2019$300,000
PMC Strategy, LLC investor protection violation2013$1,800,000
Plutus Financial, Inc. d/b/a Abra investor protection violation2020$150,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.