Boston Trading Advisors, LLC | | | investor protection violation | 2003 | $10,000 |
Nexgen Software Systems, Inc. | | | investor protection violation | 2006 | $20,000 |
United Energy, Inc. | | | investor protection violation | 2004 | $20,000 |
Olam International Limited | Olam Group | agribusiness | investor protection violation | 2004 | $20,000 |
BNP Paribas Commodity Futures, Ltd. | BNP Paribas | financial services | data submission deficiencies | 2008 | $25,000 |
Pioneer Futures Inc. | | | data submission deficiencies | 2007 | $25,000 |
Rosenthal Collins Group | | | data submission deficiencies | 2007 | $25,000 |
Warenhandelsgesellschaft Corinth, m.b.H. | | | investor protection violation | 2005 | $25,000 |
Credit Lyonnais Rouse Limited | Credit Agricole | financial services | investor protection violation | 2004 | $25,000 |
Fimat International Banque SA | | | investor protection violation | 2004 | $25,000 |
Refco Overseas Limited | | | investor protection violation | 2004 | $25,000 |
Barry Callebaut Sourcing AG | Barry Callebaut | food products | investor protection violation | 2004 | $25,000 |
Armajaro Trading Limited | | | investor protection violation | 2005 | $35,000 |
Sukarne SA de CV | | | investor protection violation | 2020 | $35,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | data submission deficiencies | 2003 | $45,000 |
New World Holdings LLC | | | investor protection violation | 2014 | $50,000 |
Walsh Trading Inc. | | | investor protection violation | 2009 | $50,000 |
UBS Fund Advisor, LLC | UBS | financial services | data submission deficiencies | 2009 | $50,000 |
Hencorp Becstone Futures LC | | | investor protection violation | 2005 | $50,000 |
E Net Speculation Ltd. | | | investor protection violation | 2004 | $50,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | data submission deficiencies | 2002 | $65,000 |
Sharpe Signa, LLC and Haeres Capital, LLC | | | investor protection violation | 2015 | $70,000 |
Friedberg Mercantile Group, Inc. | | | investor protection violation | 2014 | $70,000 |
BFXNA Inc. d/b/a Bitfinex | | | investor protection violation | 2016 | $75,000 |
Fortis Investment Management USA, Inc. | | | data submission deficiencies | 2009 | $75,000 |
Spring Mountain Capital G.P., LLC | | | data submission deficiencies | 2009 | $75,000 |
Spring Mountain Capital, LP | | | data submission deficiencies | 2009 | $75,000 |
Mansur Capital Corporation | | | investor protection violation | 2008 | $75,000 |
Paradigm Capital Management LLC | | | data submission deficiencies | 2008 | $75,000 |
Carr Futures Inc | | | data submission deficiencies | 2003 | $75,000 |
Mobius Risk Group LLC | | | investor protection violation | 2018 | $75,000 |
Silver Star FX, LLC et al. | | | investor protection violation | 2019 | $75,000 |
Upstream Energy Services LLC | | | investor protection violation | 2019 | $75,000 |
Treasury Vault, LLC | | | investor protection violation | 2019 | $75,000 |
Southwest Group, LLC | | | investor protection violation | 2020 | $75,000 |
Enfinium Pty Ltd | | | investor protection violation | 2012 | $80,000 |
San Diego Gas & Electric Company | Sempra Energy | utilities and power generation | investor protection violation | 2010 | $80,000 |
Banque CIAL | | | investor protection violation | 2007 | $80,000 |
Credit Lyonnais Rouse Limited | Credit Agricole | financial services | investor protection violation | 2005 | $85,000 |
Peregrine Financial Group, Inc. | | | investor protection violation | 2000 | $90,000 |
Hope Advisors LLC | | | investor protection violation | 2015 | $100,000 |
Tunney & Associates, P.C. | | | investor protection violation | 2014 | $100,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2011 | $100,000 |
Citigroup Private Bank GP, Inc. | Citigroup | financial services | data submission deficiencies | 2009 | $100,000 |
Aaristo Commodities and Futures DMCC | | | investor protection violation | 2008 | $100,000 |
Farmers Cooperative Company | | | investor protection violation | 2000 | $100,000 |
Oden Capital Management, LLC | | | investor protection violation | 2017 | $100,000 |
AMP Global Clearing LLC | | | investor protection violation | 2018 | $100,000 |
XBT Corp. SARL d/b/a First Global Credit | | | investor protection violation | 2019 | $100,000 |
Symphony Communication Services, LLC | | | investor protection violation | 2021 | $100,000 |
Aralia Securities, Ltd. And Vintage Bullion DMC | | | investor protection violation | 2021 | $100,000 |
Deridex, Inc. | | | investor protection violation | 2023 | $100,000 |
BareIt Media LLC | | | investor protection violation | 2023 | $100,000 |
FX Trading, LLC | | | investor protection violation | 2011 | $110,000 |
Cadent Financial Services LLC | | | investor protection violation | 2009 | $120,000 |
Persistent Edge Management, LLC | | | investor protection violation | 2008 | $120,000 |
Russell Investments Ireland Limited and Russell Investments Cayman Ltd. | | | data submission deficiencies | 2007 | $120,000 |
Marex Spectron International Limited | | | investor protection violation | 2020 | $120,000 |
EOX Holdings LLC | | | investor protection violation | 2020 | $120,000 |
Futures International LLC | | | investor protection violation | 2020 | $120,000 |
OTC Europe LLP | | | investor protection violation | 2020 | $120,000 |
London Metals Market LLC | | | investor protection violation | 2013 | $121,000 |
R.J. O'Brien & Associates LLC | | | investor protection violation | 2013 | $125,000 |
Enskilda Futures Limited | | | investor protection violation | 2013 | $125,000 |
Cadent Financial Services LLC | | | investor protection violation | 2011 | $125,000 |
Wall Street Pirate Management, LLC | | | investor protection violation | 2017 | $125,000 |
Financial Investments, Inc. | | | investor protection violation | 2010 | $130,000 |
Noble Americas Corp. | Vitol | financial services | investor protection violation | 2010 | $130,000 |
UBS AG | UBS | financial services | investor protection violation | 2010 | $130,000 |
Heraeus Metals New York LLC | Heraeus | diversified | investor protection violation | 2019 | $130,000 |
Stillwater Capital Partners, Inc. and Stillwater Capital Partners, LLC | | | investor protection violation | 2008 | $135,000 |
BNP Paribas Securities | BNP Paribas | financial services | investor protection violation | 2015 | $140,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2012 | $140,000 |
Otkritie Capital International, Ltd. | | | investor protection violation | 2016 | $140,000 |
Pure Reason LLC | | | investor protection violation | 2015 | $140,000 |
FCStone, LLC | StoneX Group | financial services | investor protection violation | 2015 | $140,000 |
Summit Energy Services Inc. | Schneider Electric | electrical and electronic equipment | investor protection violation | 2015 | $140,000 |
Vision Financial Markets LLC | | | investor protection violation | 2013 | $140,000 |
Lincolnshire Trading Partners, LLC | | | investor protection violation | 2013 | $140,000 |
Blue Sky Capital Management Corp. | | | investor protection violation | 2012 | $140,000 |
LMC Asset Management, Inc. | | | investor protection violation | 2012 | $140,000 |
Financial Instruments Ltd. | | | investor protection violation | 2012 | $140,000 |
City Credit Capital, (UK) Ltd. | | | investor protection violation | 2012 | $140,000 |
Windsor Brokers, Ltd. | | | investor protection violation | 2012 | $140,000 |
D.E. Shaw & Co. L.P. | | | investor protection violation | 2012 | $140,000 |
FXOpen Investments Inc. | | | investor protection violation | 2012 | $140,000 |
Tenco, Inc. | | | investor protection violation | 2011 | $140,000 |
Forex Capital Markets Ltd. | Jefferies Financial Group | diversified | investor protection violation | 2011 | $140,000 |
ARMKAT LLC | | | investor protection violation | 2019 | $140,000 |
Edge Financial Technologies, LLC | | | investor protection violation | 2020 | $145,200 |
Agrocorp International Pte Ltd. | | | investor protection violation | 2016 | $150,000 |
Golden Agri International Pte Ltd. | | | investor protection violation | 2016 | $150,000 |
Cunningham Commodities, LLC | | | investor protection violation | 2016 | $150,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | financial services | investor protection violation | 2015 | $150,000 |
Absa Bank, Ltd. | | | investor protection violation | 2014 | $150,000 |
Zulutrade Inc. | | | investor protection violation | 2014 | $150,000 |
FirstRand Bank, Ltd. | | | investor protection violation | 2014 | $150,000 |
Macquarie Futures USA LLC | Macquarie | financial services | investor protection violation | 2013 | $150,000 |
Enskilda Futures Ltd. | | | investor protection violation | 2011 | $150,000 |
TRP Advisory Group, Inc. and Traders East, Inc. | | | investor protection violation | 2010 | $150,000 |
Aurifex Commodities Research Company | | | investor protection violation | 2008 | $150,000 |