Simply Gains, Inc. | | | investor protection violation | 2024 | $830,000 |
The Options Clearing Corporation | | | investor protection violation | 2023 | $5,000,000 |
DARMA, LLC | | | investor protection violation | 2023 | $150,000 |
Coquest Inc. et al. | | | investor protection violation | 2023 | $2,996,021 |
BBL Commodities LP | | | investor protection violation | 2023 | $400,000 |
Mizuho Capital Markets LLC | Mizuho Financial | financial services | investor protection violation | 2023 | $6,847,182 |
DCAST Capital Investments LLCandFive Traders LLC | | | investor protection violation | 2023 | $16,087,440 |
Goldman Sachs | Goldman Sachs | financial services | investor protection violation | 2023 | $15,000,000 |
HSBC Bank USA, N.A. | HSBC | financial services | investor protection violation | 2023 | $45,000,000 |
HSBC Bank PLC | HSBC | financial services | investor protection violation | 2023 | $30,000,000 |
Bank of Nova Scotia | Scotiabank | financial services | investor protection violation | 2023 | $15,000,000 |
AK Equity Group LLC and Xapphire LLC | | | investor protection violation | 2023 | $24,080,325 |
SR&B Investment Enterprises, Inc. | | | investor protection violation | 2023 | $2,461,877 |
King Royalty, LLC | | | investor protection violation | 2023 | $6,978,837 |
Bull Run Advantage, LLC | | | investor protection violation | 2023 | $215,719 |
Green Knight Investments, LLC | | | investor protection violation | 2023 | $675,378 |
Argent Asset Group LLC and First State Depository Company, LLC | | | investor protection violation | 2023 | $145,700,000 |
Challenger Life Company Limited | | | investor protection violation | 2023 | $150,000 |
Bryant Capital Trade Management Corporation | | | investor protection violation | 2023 | $250,655 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2023 | $6,000,000 |
BNP Paribas | BNP Paribas | financial services | investor protection violation | 2023 | $75,000,000 |
Societe Generale | Societe Generale | financial services | investor protection violation | 2023 | $75,000,000 |
Wells Fargo | Wells Fargo | financial services | investor protection violation | 2023 | $75,000,000 |
Bank of Montreal | Bank of Montreal | financial services | investor protection violation | 2023 | $35,000,000 |
Bluprint LLC | | | investor protection violation | 2023 | $8,863,753 |
Deridex, Inc. | | | investor protection violation | 2023 | $100,000 |
Mirror Trading International Proprietary Limited | | | investor protection violation | 2023 | $1,700,000,000 |
Opyn, Inc. | | | investor protection violation | 2023 | $250,000 |
ZeroEx, Inc. | | | investor protection violation | 2023 | $200,000 |
BareIt Media LLC | | | investor protection violation | 2023 | $100,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2023 | $5,500,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | financial services | investor protection violation | 2023 | $30,000,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | financial services | investor protection violation | 2023 | $15,000,000 |
Bank of America, N.A. | Bank of America | financial services | investor protection violation | 2023 | $8,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | financial services | investor protection violation | 2023 | $3,000,000 |
LYFE, S.A. | | | anti-money-laundering deficiencies | 2023 | $212,014 |
Interactive Brokers Corp. and Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2023 | $20,000,000 |
Highland Quantitative Driven Investments LLC | | | investor protection violation | 2023 | $476,206 |
Advantage Futures LLC | | | investor protection violation | 2023 | $395,000 |
StoneX Markets LLC | StoneX Group | financial services | investor protection violation | 2023 | $650,000 |
Binance Holdings Limited et al. | Binance Holdings | financial services | investor protection violation | 2023 | (*)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 |
Tyche Asset Management LLC et al. | | | investor protection violation | 2023 | $21,308,692 |
Ceres Global Ag Corp. | | | price-fixing or anti-competitive practices | 2023 | $3,000,000 |
Tradewale LLC and Tradewale Managed Fund | | | investor protection violation | 2023 | $2,853,810 |
Oasis International Group et al. | | | investor protection violation | 2023 | $53,270,336 |
Justby International Auctions | | | investor protection violation | 2023 | $5,352,843 |
Highrise Advantage, LLC. | | | investor protection violation | 2023 | $102,234,376 |
Freepoint Commodities LLC | | | investor protection violation | 2023 | $91,000,000 |
Golden Signals LLC | | | investor protection violation | 2022 | $2,613,276 |
Mondelez Global | Mondelez International | food products | investor protection violation | 2022 | $16,000,000 |
Fintech Investment Group Inc. andCompcoin LLC | | | investor protection violation | 2022 | $1,800,000 |
ED&F Man Capital Markets, Ltd. | | | investor protection violation | 2022 | $3,250,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2022 | $1,010,828 |
Starberry Limited | | | investor protection violation | 2022 | $1,376,206 |
Glencore International A.G. | Glencore | financial services | price-fixing or anti-competitive practices | 2022 | $1,186,000,000 |
Berkley Capital Management, LLC et al. | | | investor protection violation | 2022 | $6,198,632 |
Natixis | | | investor protection violation | 2022 | $2,800,000 |
SwapStar Capital LLC | | | investor protection violation | 2022 | $5,255,560 |
Powerline Petroleum, LLC | | | investor protection violation | 2022 | $875,000 |
Financial Tree Trust et al. | | | investor protection violation | 2022 | $15,900,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | financial services | investor protection violation | 2022 | $850,000 |
BNP Paribas | BNP Paribas | financial services | investor protection violation | 2022 | $6,000,000 |
CTAX Series, LLC | | | investor protection violation | 2022 | $2,358,661 |
Prime Agricultural Investors, Inc. | | | investor protection violation | 2022 | $563,459 |
Main & Prospect Capital, LLC | | | investor protection violation | 2022 | $7,606,395 |
Ztegrity, Inc. | | | investor protection violation | 2022 | $943,570 |
BGC Derivative Markets, L.P. | | | investor protection violation | 2022 | $1,900,000 |
CX Futures Exchange, L.P. | | | investor protection violation | 2022 | $6,500,000 |
ADM Investor Services Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2022 | $500,000 |
tpSEF, Inc. | | | investor protection violation | 2022 | $850,000 |
Bank of America | Bank of America | financial services | investor protection violation | 2022 | $100,000,000 |
Barclays Bank PLC | Barclays | financial services | investor protection violation | 2022 | $75,000,000 |
Cantor Fitzgerald | Cantor Fitzgerald | financial services | investor protection violation | 2022 | $6,000,000 |
Citibank N.A. | Citigroup | financial services | investor protection violation | 2022 | $75,000,000 |
Credit Suisse | UBS | financial services | investor protection violation | 2022 | $75,000,000 |
Deutsche Bank | Deutsche Bank | financial services | investor protection violation | 2022 | $75,000,000 |
Goldman Sachs | Goldman Sachs | financial services | investor protection violation | 2022 | $75,000,000 |
Jefferies Financial Services, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2022 | $30,000,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2022 | $75,000,000 |
Nomura Securities | Nomura | financial services | investor protection violation | 2022 | $50,000,000 |
UBS AG | UBS | financial services | investor protection violation | 2022 | $75,000,000 |
Quantum Financial Network, LLC | | | investor protection violation | 2022 | $192,894 |
Asset Risk Management, LLC | | | investor protection violation | 2022 | $200,000 |
Tanius Technology, LLC | | | investor protection violation | 2022 | $600,000 |
COFCO Corp. andChinatex Corp., Ltd. | | | investor protection violation | 2022 | $720,000 |
XP Investments US, LLC | | | investor protection violation | 2022 | $500,000 |
bZeroX, LLC | | | investor protection violation | 2022 | $250,000 |
Goldline, Inc. andA-Mark Precious Metals, Inc. | | | investor protection violation | 2022 | $1,077,801 |
Welther Oaks, LLC | | | investor protection violation | 2022 | $441,232 |
Walleye Capital LLC | | | investor protection violation | 2022 | $550,000 |
CHS Hedging LLC | CHS Inc. | agribusiness | anti-money-laundering deficiencies | 2022 | $6,500,000 |
Monex Deposit Company et al. | | | investor protection violation | 2022 | $38,000,000 |
AG Processing Inc | Ag Processing Inc. | agribusiness | investor protection violation | 2021 | $400,000 |
SummerHaven Investment Management LLC | | | investor protection violation | 2021 | $500,000 |
J Squared LLC | | | investor protection violation | 2021 | $198,555 |
The Alista Group, LLC | | | investor protection violation | 2021 | $2,242,162 |
Circle Society, Corp. | | | investor protection violation | 2021 | $32,141,375 |
Negus Capital Incorporated | | | investor protection violation | 2021 | $1,178,180 |
Coinbase Inc. | Coinbase Global Inc. | financial services | investor protection violation | 2021 | $6,500,000 |
Silver Star FX LLC dba Silver Star Live and Silver Star Live Software LLC | | | investor protection violation | 2021 | $23,506,392 |
Tyson Foods, Inc. | Tyson Foods | food products | investor protection violation | 2021 | $1,500,000 |