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)
CompanyCurrent Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
e prime, Inc.Xcel Energyutilities and power generationprice-fixing or anti-competitive practices2004$16,000,000
The Williams Companies, Inc.Williams Companiesoil and gasdata submission deficiencies2003$20,000,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesdata submission deficiencies2003$45,000
Prudential Securities, Inc.Wells Fargofinancial servicesdata submission deficiencies2002$65,000
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
Vitol Inc. and Vitol Capital Management Ltd.Vitolfinancial servicesinvestor protection violation2010$6,000,000
Noble Americas Corp.Vitolfinancial servicesinvestor protection violation2010$130,000
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
Dynegy Marketing & Trade (Dynegy) and West Coast Power LLCVistra Energyutilities and power generationprice-fixing or anti-competitive practices2002$5,000,000
Credit SuisseUBSfinancial servicesinvestor protection violation2016$665,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2014$290,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2012$700,000,000
UBS SecuritiesUBSfinancial servicesdata submission deficiencies2010$200,000
UBS AGUBSfinancial servicesinvestor protection violation2010$130,000
UBS Fund Advisor, LLCUBSfinancial servicesdata submission deficiencies2009$50,000
UBS AGUBSfinancial servicesinvestor protection violation2018$15,000,000
Credit SuisseUBSfinancial servicesinvestor protection violation2021$1,500,000
UBS AGUBSfinancial servicesinvestor protection violation2021$500,000
Credit SuisseUBSfinancial servicesinvestor protection violation2022$75,000,000
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
Total Gas & Power North America, Inc.TotalEnergies SEoil and gasinvestor protection violation2015$3,600,000
INTL FCStone Markets, LLCStoneX Groupfinancial servicesinvestor protection violation2015$200,000
FCStone, LLCStoneX Groupfinancial servicesinvestor protection violation2015$140,000
Global Futures & Forex, Ltd.StoneX Groupfinancial servicesinvestor protection violation2014$200,000
FCStone LLCStoneX Groupfinancial servicesinvestor protection violation2013$1,500,000
FCStone, LLC and Commodity Operations Inc.StoneX Groupfinancial servicesinvestor protection violation2012$260,000
INTL FCStone Financial Inc.StoneX Groupfinancial servicesinvestor protection violation2017$280,000
Gain Capital Group, LLCStoneX Groupfinancial servicesinvestor protection violation2020$300,000
StoneX Markets LLCStoneX Groupfinancial servicesinvestor protection violation2023$650,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2016$750,000
Societe GeneraleSociete Generalefinancial servicesdata submission deficiencies2016$450,000
Societe Generale S.A.Societe Generalefinancial servicesprice-fixing or anti-competitive practices2018$475,000,000
Societe Generale International LimitedSociete Generalefinancial servicesinvestor protection violation2019$2,500,000
Societe Generale S.A.Societe Generalefinancial servicesinvestor protection violation2021$1,500,000
Societe GeneraleSociete Generalefinancial servicesinvestor protection violation2023$75,000,000
Shell International Trading and Shipping Co.Shell PLCoil and gasinvestor protection violation2006$200,000
San Diego Gas & Electric CompanySempra Energyutilities and power generationinvestor protection violation2010$80,000
Sempra Energy Trading LLCSempra Energyutilities and power generationinvestor protection violation2008$175,000
Scotia Capital Inc.Scotiabankfinancial servicesinvestor protection violation2010$250,000
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2018$800,000
The Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2020$50,000,000
The Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2020$77,400,000
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2023$15,000,000
Summit Energy Services Inc.Schneider Electricelectrical and electronic equipmentinvestor protection violation2015$140,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesinvestor protection violation2014$35,000,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019$5,000,000
RabobankRabobankfinancial servicesprice-fixing or anti-competitive practices2013$475,000,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesinvestor protection violation2019$300,000
ONEOK Inc.Oneokpipelinesdata submission deficiencies2004$3,000,000
Olam International Ltd. and Olam Americas Inc.Olam Groupagribusinessinvestor protection violation2015$3,000,000
Olam International LimitedOlam Groupagribusinessinvestor protection violation2004$20,000
NRG Energy, Inc.NRG Energyutilities and power generationdata submission deficiencies2007$2,000,000
Mirant Americas Energy Marketing LPNRG Energyutilities and power generationprice-fixing or anti-competitive practices2004$12,500,000
Reliant Energy Services, Inc.NRG Energyutilities and power generationprice-fixing or anti-competitive practices2003$18,000,000
Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2019$1,000,000
Nomura SecuritiesNomurafinancial servicesinvestor protection violation2022$50,000,000
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
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2018$750,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2019$850,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2015$300,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014$280,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014$490,000
Morgan Stanley Capital GroupMorgan Stanleyfinancial servicesinvestor protection violation2014$200,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2012$200,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2012$5,000,000
Morgan Stanley Capital GroupMorgan Stanleyfinancial servicesdata submission deficiencies2010$14,000,000
E*TRADE Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2017$280,000
Morgan StanleyMorgan Stanleyfinancial servicesdata submission deficiencies2017$350,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2017$500,000
Morgan Stanley Capital Group Inc.Morgan Stanleyfinancial servicesinvestor protection violation2019$1,500,000
Morgan Stanley Capital Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2022$75,000,000
Mondelez GlobalMondelez Internationalfood productsprice-fixing or anti-competitive practices2019$8,000,000
Mondelez GlobalMondelez Internationalfood productsinvestor protection violation2022$16,000,000
Mizuho Securities USA Inc.Mizuho Financialfinancial servicesdata submission deficiencies2013$175,000
Mizuho Bank, Ltd.Mizuho Financialfinancial servicesinvestor protection violation2018$250,000
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2021$1,500,000
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2023$6,847,182
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupfinancial servicesinvestor protection violation2017$600,000
Mitsubishi Corporation RtM Japan Ltd.Mitsubishi Corporationdiversifiedinvestor protection violation2019$500,000
Mitsubishi International CorporationMitsubishi Corporationdiversifiedinvestor protection violation2019$400,000
Marubeni America CorporationMarubenidiversifiedinvestor protection violation2015$800,000
ConAgra Trade Group, Inc.Marubenidiversifiedinvestor protection violation2010$12,000,000
Marathon Petroleum CompanyMarathon Petroleumoil and gasprice-fixing or anti-competitive practices2007$1,000,000
Macquarie Futures USA LLCMacquariefinancial servicesinvestor protection violation2013$150,000
Lloyds Banking Group plcLloyds Banking Groupfinancial servicesprice-fixing or anti-competitive practices2014$105,000,000
Kraft FoodsKraft Heinzfood productsprice-fixing or anti-competitive practices2019$8,000,000
El Paso Merchant Energy, L.P.Kinder Morganpipelinesprice-fixing or anti-competitive practices2003$20,000,000
JPMorgan ChaseJPMorgan Chasefinancial servicesdata submission deficiencies2016$225,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesdata submission deficiencies2015$100,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesprice-fixing or anti-competitive practices2014$310,000,000
JPMorgan SecuritiesJPMorgan Chasefinancial servicesdata submission deficiencies2014$650,000
JPMorgan ChaseJPMorgan Chasefinancial servicesinvestor protection violation2013$100,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesinvestor protection violation2012$600,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.