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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
Coral Energy Resources, L.P. data submission deficiencies2004$30,000,000
Coquest Inc. et al. investor protection violation2023$2,996,021
Copersucar Trading A.V.V. investor protection violation2017$300,000
Convergent Wealth Advisors LLC fraud2016$800,000
Concord Energy, LLC price-fixing or anti-competitive practices2007$800,000
ConAgra Trade Group, Inc.Marubenidiversifiedinvestor protection violation2010$12,000,000
Complete Developments, LLC and Investment International Inc. investor protection violation2013$23,000,000
Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc. investor protection violation2007$21,819,785
Commerzbank AGCommerzbankfinancial servicesinvestor protection violation2018$12,000,000
Commercial Hedge Services, Inc. investor protection violation2007$325,000
Coinbase Inc.Coinbase Global Inc.financial servicesinvestor protection violation2021$6,500,000
COFCO Corp. andChinatex Corp., Ltd. investor protection violation2022$720,000
COES FX Clearing, Inc. investor protection violation2006$246,601
Cocoon Trade, Inc investor protection violation2009$1,542,787
CNCGC Hong Kong Ltd data submission deficiencies2017$150,000
CMS Marketing Services & Trading and CMS Field Services price-fixing or anti-competitive practices2003$16,000,000
CMA Capital Management, LLC investor protection violation2012$5,500,000
Classic Energy LLC investor protection violation2019$1,500,000
Classic Energy LLC investor protection violation2021$585,000
City Credit Capital, (UK) Ltd. investor protection violation2012$140,000
Citigroup Private Bank GP, Inc.Citigroupfinancial servicesdata submission deficiencies2009$100,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$25,000,000
CitigroupCitigroupfinancial servicesprice-fixing or anti-competitive practices2016$175,000,000
CitigroupCitigroupfinancial servicesinvestor protection violation2012$525,000
Citibank, N.A.Citigroupfinancial servicesinvestor protection violation2021$1,000,000
Citibank N.A.Citigroupfinancial servicesdata submission deficiencies2017$550,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2020$4,500,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2022$75,000,000
CitibankCitigroupfinancial servicesprice-fixing or anti-competitive practices2016$250,000,000
CitibankCitigroupfinancial servicesprice-fixing or anti-competitive practices2014$310,000,000
Circle Society, Corp. investor protection violation2021$32,141,375
Cinergy Marketing & Trading, LPBNP Paribasfinancial servicesdata submission deficiencies2004$3,000,000
Cindium Inc. and Einstein Exchange Group Inc. investor protection violation2016$601,000
Cifuentes Fund Management, LLC investor protection violation2018$2,227,120
CHS, Inc.CHS Inc.agribusinessinvestor protection violation2019$500,000
CHS Inc.CHS Inc.agribusinessinvestor protection violation2016$1,000,000
CHS Hedging LLCCHS Inc.agribusinessanti-money-laundering deficiencies2022$6,500,000
Chicago Index Partners, L.P. (CIP) and Wilkinson Financial Opportunity Fund, L.P. fraud2016$21,800,000
Champion Management International, LLC investor protection violation2014$2,544,722
Challenger Life Company Limited investor protection violation2023$150,000
Ceres Global Ag Corp. price-fixing or anti-competitive practices2023$3,000,000
Century Maxim Fund and AJR Capital investor protection violation2007$22,500,000
Centurion Global Capital Management LLC investor protection violation2012$360,000
Centurion Asset Management, Inc. investor protection violation2011$49,700,000
CDH Forex Investments, LLC and CDH Global Holdings LLC investor protection violation2012$5,400,000
Catalyst Capital Advisors LLC investor protection violation2020$10,208,481
Carr Futures Inc data submission deficiencies2003$75,000
Cargill Inc.Cargillagribusinessinvestor protection violation2017$10,000,000
Cargill Inc.Cargillagribusinessinvestor protection violation2021$750,000
Cargill de Mexico SA De CVCargillagribusinessinvestor protection violation2015$500,000
Capstone FX Quantitative Analysis, Inc. and Beekeepers Fund Capital Management, LLC investor protection violation2013$3,500,000
Capital Market Services, LLC investor protection violation2014$275,000
Capital Blu Management, LLC investor protection violation2011$17,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2011$100,000
Cantor FitzgeraldCantor Fitzgeraldfinancial servicesinvestor protection violation2012$700,000
Cantor FitzgeraldCantor Fitzgeraldfinancial servicesinvestor protection violation2022$6,000,000
Calpine Energy Services, L.P.Energy Capital Partnersprivate equity (including portfolio companies)investor protection violation2004$1,500,000
Cadent Financial Services LLC investor protection violation2011$125,000
Cadent Financial Services LLC investor protection violation2009$120,000
C & R Financial, Inc. investor protection violation2011$5,350,000
bZeroX, LLC investor protection violation2022$250,000
Bunge Global Markets, Inc.Bungeagribusinessinvestor protection violation2011$550,000
Bull Run Advantage, LLC investor protection violation2023$215,719
Bryant Capital Trade Management Corporation investor protection violation2023$250,655
Brunswick Capital LLC and Brunswick Capital Partners LP investor protection violation2015$1,025,039
Brookshire Raw Materials Management, LLC investor protection violation2011$15,800,000
BP Products North America Inc.BPoil and gasprice-fixing or anti-competitive practices2007$303,000,000
Boston Trading Advisors, LLC investor protection violation2003$10,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesprice-fixing or anti-competitive practices2018$90,000,000
BNP Paribas SecuritiesBNP Paribasfinancial servicesinvestor protection violation2015$140,000
BNP Paribas Commodity Futures, Ltd.BNP Paribasfinancial servicesdata submission deficiencies2008$25,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2022$6,000,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2023$75,000,000
Bluprint LLC investor protection violation2023$8,863,753
Blue Sky Capital Management Corp. investor protection violation2012$140,000
Blue Moon Investments Inc. investor protection violation2024$204,622,580
Blue Bit Banc et al. investor protection violation2019$3,346,405
BlackRock Institutional Trust Company NABlackRockfinancial servicesinvestor protection violation2012$250,000
Blackbox Pulse, LLC investor protection violation2019$2,712,807
Black Diamond Forex LP, BDF Trading LP, and Advanta FX investor protection violation2020$1,200,000
Black Diamond Capital Solutions LLC, Life Plus Group LLC and Black Diamond Holdings LLC investor protection violation2015$76,000,000
Bitfinex investor protection violation2021$1,500,000
Binance Holdings Limited et al.Binance Holdingsfinancial servicesinvestor protection violation2023(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000
Billionaire Investor Group, The Toole Group Inc., and?Catalyst Traders LLC investor protection violation2017$493,141
Billion Coupons, Inc. investor protection violation2010$6,200,000
BGC Financial, LPBGC Partnersfinancial servicesinvestor protection violation2019$15,000,000
BGC Financial, L.P.BGC Partnersfinancial servicesinvestor protection violation2019$3,000,000
BGC Derivative Markets, L.P. investor protection violation2022$1,900,000
BFXNA Inc. d/b/a Bitfinex investor protection violation2016$75,000
Berkley Capital Management, LLC et al. investor protection violation2022$6,198,632
Bentley Equities, LLC investor protection violation2013$2,700,000
Belvedere Trading LLC investor protection violation2019$1,100,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. investor protection violation2016$490,246,741
BBL Commodities LP investor protection violation2023$400,000
Barry Callebaut Sourcing AGBarry Callebautfood productsinvestor protection violation2004$25,000
Barki LLC investor protection violation2011$40,904,000
BareIt Media LLC investor protection violation2023$100,000
Barclays PLCBarclaysfinancial servicesprice-fixing or anti-competitive practices2012$200,000,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.