Basic Search  |  Summaries  |  Advanced Search

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.

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
1pool Ltd. investor protection violation2019$421,000
3Red Trading LLC fraud2016$2,500,000
4NExchange investor protection violation2008$480,000
4X Solutions Inc. investor protection violation2016$10,980,904
A&A Trading, Inc. investor protection violation2020$495,329
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesdata submission deficiencies2003$45,000
Aaristo Commodities and Futures DMCC investor protection violation2008$100,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2013$1,000,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2018$160,000
Absa Bank, Ltd. investor protection violation2014$150,000
Acceleration Capital, LLC investor protection violation2007$218,000
ACI Capital Group, L.L.C. investor protection violation2012$850,000
ACJ Capital Inc., and Solid View Capital LLC investor protection violation2013$1,500,000
ACJ Capital, Inc. investor protection violation2012$3,700,000
ADM Investor Services Inc.Archer Daniels Midlandagribusinessinvestor protection violation2019$250,000
ADM Investor Services Inc.Archer Daniels Midlandagribusinessinvestor protection violation2022$500,000
ADM Investor Services, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2013$425,000
ADM Investor Services, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2009$200,000
Advanced Trading Workshop, Inc. investor protection violation2016$940,000
Advantage Futures LLC investor protection violation2016$1,500,000
Advantage Futures LLC investor protection violation2023$395,000
AG Processing IncAg Processing Inc.agribusinessinvestor protection violation2021$400,000
Agrocorp International Pte Ltd. investor protection violation2016$150,000
AK Equity Group LLC and Xapphire LLC investor protection violation2023$24,080,325
Alaron Trading Corporation investor protection violation2010$260,000
Alaron Trading Corporation investor protection violation2008$299,000
Alfred C. Toepfer International, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2015$400,000
Algointeractive Inc investor protection violation2018$962,200
All City Investments, LLC investor protection violation2018$670,912
Allegheny Gulf Investments, Inc investor protection violation2005$440,000
Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC investor protection violation2012$2,500,000
Alliance Development Company investor protection violation2008$2,200,000
Allied Markets, LLC investor protection violation2019$2,400,000
Alpha Trade Group S.A. investor protection violation2013$5,779,000
AlphaMetrix, LLC investor protection violation2014$5,600,000
Altamont Global Partners LLC investor protection violation2014$15,800,000
Amada Capital Management LLC investor protection violation2020$596,700
Amaggi Exportacao e Importacao Ltda. investor protection violation2021$175,000
Amaranth Advisors, L.L.C. and Amaranth Advisors (Calgary) ULC price-fixing or anti-competitive practices2009$7,500,000
American Bullion Exchange investor protection violation2014$18,000,000
American Derivatives Corp. (ADC), Brokerage Management Corp., investor protection violation2009$6,750,000
American Electric Power Company, Inc. and AEP Energy Services, Inc.American Electric Powerutilities and power generationdata submission deficiencies2005$30,000,000
American Energy Exchange and York Commodities investor protection violation2007$3,652,788
American Portfolio Asset Management, Inc. investor protection violation2015$578,474
AmeriFirst Management LLC investor protection violation2014$35,000,000
AMP Global Clearing LLC investor protection violation2018$100,000
Angus Jackson, Inc. investor protection violation2013$2,800,000
Angus Partners LLC investor protection violation2016$250,000
Apuro Holdings Ltd et al. investor protection violation2019$2,243,344
Aquila Merchant ServicesEvergy Inc.utilities and power generationprice-fixing or anti-competitive practices2004$26,500,000
Arab Global Commodities DMCC investor protection violation2017$300,000
Aralia Securities, Ltd. And Vintage Bullion DMC investor protection violation2021$100,000
ARB Trading Group LP investor protection violation2020$445,000
Argent Asset Group LLC and First State Depository Company, LLC investor protection violation2023$145,700,000
Arjent Capital Markets LLC and Chicago Trading Managers LLC investor protection violation2013$1,800,000
Armajaro Trading Limited investor protection violation2005$35,000
ARMKAT LLC investor protection violation2019$140,000
Asset Risk Management, LLC investor protection violation2022$200,000
Assurance Capital Management, LLC investor protection violation2017$1,969,165
Atlantas Group, Inc. investor protection violation2016$7,200,000
Aurifex Commodities Research Company investor protection violation2008$150,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2015$150,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2012$350,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2024$500,000
Avista EnergyAvistautilities and power generationprice-fixing or anti-competitive practices2001$2,100,000
Axcess Automation LLC and Axcess Fund Management LLC investor protection violation2012$41,000,000
Axess Trading Co., Inc. investor protection violation2006$569,437
Badge Trading LLC investor protection violation2016$280,000
Banc de Binary Ltd. investor protection violation2016$9,100,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2022$100,000,000
Bank of America, N.A.Bank of Americafinancial servicesprice-fixing or anti-competitive practices2018$30,000,000
Bank of America, N.A.Bank of Americafinancial servicesinvestor protection violation2023$8,000,000
Bank of MontrealBank of Montrealfinancial servicesinvestor protection violation2023$35,000,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2019$750,000
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2018$800,000
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2023$15,000,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupfinancial servicesinvestor protection violation2017$600,000
Banque CIAL investor protection violation2007$80,000
BarclaysBarclaysfinancial servicesprice-fixing or anti-competitive practices2015$400,000,000
BarclaysBarclaysfinancial servicesprice-fixing or anti-competitive practices2015$115,000,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2016$560,000
Barclays Bank PLCBarclaysfinancial servicesdata submission deficiencies2016$500,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2022$75,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$800,000
Barclays PLCBarclaysfinancial servicesprice-fixing or anti-competitive practices2012$200,000,000
BareIt Media LLC investor protection violation2023$100,000
Barki LLC investor protection violation2011$40,904,000
Barry Callebaut Sourcing AGBarry Callebautfood productsinvestor protection violation2004$25,000
BBL Commodities LP investor protection violation2023$400,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. investor protection violation2016$490,246,741
Belvedere Trading LLC investor protection violation2019$1,100,000
Bentley Equities, LLC investor protection violation2013$2,700,000
Berkley Capital Management, LLC et al. investor protection violation2022$6,198,632
BFXNA Inc. d/b/a Bitfinex investor protection violation2016$75,000
BGC Derivative Markets, L.P. investor protection violation2022$1,900,000
BGC Financial, L.P.BGC Partnersfinancial servicesinvestor protection violation2019$3,000,000
BGC Financial, LPBGC Partnersfinancial servicesinvestor protection violation2019$15,000,000
Billion Coupons, Inc. investor protection violation2010$6,200,000
Billionaire Investor Group, The Toole Group Inc., and?Catalyst Traders LLC investor protection violation2017$493,141
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
Bitfinex investor protection violation2021$1,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.