Wall Street Underground, Inc. | | | investor protection violation | 2006 | $9,500,000 |
Gold Coast Bullion Inc. | | | investor protection violation | 2015 | $9,690,124 |
International Monetary Metals, Inc. | | | investor protection violation | 2016 | $9,800,000 |
Elite Management Holdings Corp. and MJM Enterprises LLC | | | investor protection violation | 2014 | $10,000,000 |
MF Global Inc. | | | investor protection violation | 2009 | $10,000,000 |
Energy Transfer Partners, L.P. | Energy Transfer | pipelines | price-fixing or anti-competitive practices | 2008 | $10,000,000 |
Cargill Inc. | Cargill | agribusiness | investor protection violation | 2017 | $10,000,000 |
GFI Securities, LLC | BGC Partners | financial services | investor protection violation | 2019 | $10,000,000 |
Catalyst Capital Advisors LLC | | | investor protection violation | 2020 | $10,208,481 |
Longboat Global Funds Management | | | investor protection violation | 2007 | $10,317,183 |
Royal Leisure International, Inc. and Gold Chasers, Inc. | | | investor protection violation | 2019 | $10,970,756 |
Tallinex | | | investor protection violation | 2018 | $10,971,279 |
4X Solutions Inc. | | | investor protection violation | 2016 | $10,980,904 |
Northstar International Group, Inc. | | | investor protection violation | 2011 | $11,000,000 |
E-Slate, Inc. | | | investor protection violation | 2018 | $11,183,497 |
EJS Capital Management | | | fraud | 2017 | $11,600,000 |
Prestige Capital Advisors and D2W Capital Management | | | investor protection violation | 2013 | $11,700,000 |
Liquid Capital Management, LLC | | | investor protection violation | 2011 | $12,000,000 |
ConAgra Trade Group, Inc. | Marubeni | diversified | investor protection violation | 2010 | $12,000,000 |
Dairy Farmers of America, Inc. | Dairy Farmers of America (DFA) | food products | investor protection violation | 2008 | $12,000,000 |
The Liberty Mutual Group, Inc., Addison Financial Group, Inc., Addison Management Group, Inc., Hamlin Mercer Group, Inc., and Colfax Management Group, | | | investor protection violation | 2008 | $12,000,000 |
Commerzbank AG | Commerzbank | financial services | investor protection violation | 2018 | $12,000,000 |
International Investments Holdings Corp. | | | investor protection violation | 2006 | $12,120,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | anti-money-laundering deficiencies | 2020 | $12,206,214 |
Mirant Americas Energy Marketing LP | NRG Energy | utilities and power generation | price-fixing or anti-competitive practices | 2004 | $12,500,000 |
Parnon Energy Inc., Arcadia Petroleum Ltd., and Arcadia Energy (Suisse) SA | | | investor protection violation | 2014 | $13,000,000 |
Tullett Prebon Americas Inc. | | | investor protection violation | 2019 | $13,000,000 |
Kooima & Kaemingk Commodities, Inc. | | | investor protection violation | 2018 | $13,170,857 |
Rothlin & Windsor Capital Management, Inc. | | | fraud | 2002 | $13,924,051 |
Morgan Stanley Capital Group | Morgan Stanley | financial services | data submission deficiencies | 2010 | $14,000,000 |
Optiver Holding BV | | | investor protection violation | 2012 | $14,000,000 |
Forex Capital Markets LLC | Jefferies Financial Group | diversified | investor protection violation | 2011 | $14,200,000 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | investor protection violation | 2019 | $14,475,000 |
Worldwide Commodity Corporation and South Coast Commodities, Inc. | | | investor protection violation | 2006 | $14,700,000 |
UBS AG | UBS | financial services | investor protection violation | 2018 | $15,000,000 |
BGC Financial, LP | BGC Partners | financial services | investor protection violation | 2019 | $15,000,000 |
Goldman Sachs | Goldman Sachs | financial services | investor protection violation | 2023 | $15,000,000 |
Bank of Nova Scotia | Scotiabank | financial services | investor protection violation | 2023 | $15,000,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | financial services | investor protection violation | 2023 | $15,000,000 |
Omega Knight 2, LLC | | | investor protection violation | 2019 | $15,257,028 |
New York Options Exchange, Tahoe Futures, International Energy Exchange, Vitol Capital Management,New York Petroleum Option Exchange, HPR Commodities, | | | investor protection violation | 2007 | $15,524,957 |
The Trade Tech Institute, Inc. and Technology Trading International, Inc. | | | investor protection violation | 2012 | $15,759,357 |
The Tulving Company, Inc. | | | investor protection violation | 2019 | $15,761,432 |
Altamont Global Partners LLC | | | investor protection violation | 2014 | $15,800,000 |
Brookshire Raw Materials Management, LLC | | | investor protection violation | 2011 | $15,800,000 |
Financial Tree Trust et al. | | | investor protection violation | 2022 | $15,900,000 |
e prime, Inc. | Xcel Energy | utilities and power generation | price-fixing or anti-competitive practices | 2004 | $16,000,000 |
CMS Marketing Services & Trading and CMS Field Services | | | price-fixing or anti-competitive practices | 2003 | $16,000,000 |
Mondelez Global | Mondelez International | food products | investor protection violation | 2022 | $16,000,000 |
DCAST Capital Investments LLCandFive Traders LLC | | | investor protection violation | 2023 | $16,087,440 |
M25 Investments, Inc. and M37 Investments, LLC | | | investor protection violation | 2010 | $16,200,000 |
Liberty Financial Trading Corp., Inc. and Liberty Real Assets Investment Corporation | | | investor protection violation | 2007 | $16,403,000 |
Capital Blu Management, LLC | | | investor protection violation | 2011 | $17,000,000 |
DG Wealth Management | | | investor protection violation | 2016 | $17,499,623 |
U.S. Bank National Association | U.S. Bancorp | financial services | investor protection violation | 2015 | $18,000,000 |
American Bullion Exchange | | | investor protection violation | 2014 | $18,000,000 |
Reliant Energy Services, Inc. | NRG Energy | utilities and power generation | price-fixing or anti-competitive practices | 2003 | $18,000,000 |
Cromwell Financial Services, Inc. | | | investor protection violation | 2007 | $18,400,000 |
CRW Management LP | | | investor protection violation | 2011 | $19,000,000 |
Williams Advisory Group, LLC | | | investor protection violation | 2018 | $19,450,034 |
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services | | | investor protection violation | 2006 | $19,555,041 |
JPMorgan Chase Bank | JPMorgan Chase | financial services | accounting fraud or deficiencies | 2012 | $20,000,000 |
The Williams Companies, Inc. | Williams Companies | oil and gas | data submission deficiencies | 2003 | $20,000,000 |
WD Energy Services, Inc | | | price-fixing or anti-competitive practices | 2003 | $20,000,000 |
El Paso Merchant Energy, L.P. | Kinder Morgan | pipelines | price-fixing or anti-competitive practices | 2003 | $20,000,000 |
Interactive Brokers Corp. and Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2023 | $20,000,000 |
First Capitol Futures Group | | | investor protection violation | 2010 | $20,300,000 |
Trigon Group, Inc. | | | investor protection violation | 2012 | $20,600,000 |
Tyche Asset Management LLC et al. | | | investor protection violation | 2023 | $21,308,692 |
Chicago Index Partners, L.P. (CIP) and Wilkinson Financial Opportunity Fund, L.P. | | | fraud | 2016 | $21,800,000 |
Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc. | | | investor protection violation | 2007 | $21,819,785 |
Risk Capital Trading Group, Inc | | | investor protection violation | 2006 | $22,000,000 |
Century Maxim Fund and AJR Capital | | | investor protection violation | 2007 | $22,500,000 |
Dinar Corp., Inc. and My Monex, Inc. | | | investor protection violation | 2020 | $22,600,000 |
Trader's International Return Network | | | investor protection violation | 2013 | $22,800,000 |
Zilmil, Inc. | | | investor protection violation | 2019 | $22,854,289 |
Fabio Bretas de Freitas and Phy Capital Investments LLC | | | investor protection violation | 2019 | $22,986,190 |
Complete Developments, LLC and Investment International Inc. | | | investor protection violation | 2013 | $23,000,000 |
Phaetra Capital GP LLC, Phaetra Capital Management LP, and Argenta Group LLC | | | investor protection violation | 2018 | $23,117,551 |
Silver Star FX LLC dba Silver Star Live and Silver Star Live Software LLC | | | investor protection violation | 2021 | $23,506,392 |
Executive Commodity Corp. | | | investor protection violation | 2008 | $23,910,000 |
Queen Shoals, LLC, Queen Shoals II, LLC, and Select Fund, LLC | | | investor protection violation | 2011 | $24,000,000 |
AK Equity Group LLC and Xapphire LLC | | | investor protection violation | 2023 | $24,080,325 |
Merrill Lynch Commodities, Inc. | Bank of America | financial services | investor protection violation | 2019 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000 |
Moore Capital Management, LP | | | investor protection violation | 2010 | $25,000,000 |
Safevest LLC | | | investor protection violation | 2009 | $25,000,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2017 | $25,000,000 |
CRE Capital Corp. | | | investor protection violation | 2010 | $25,700,000 |
North Hills Management LLC | | | investor protection violation | 2015 | $26,000,000 |
Prestige Ventures Corporation and Federated Management Group, Inc. | | | investor protection violation | 2010 | $26,000,000 |
Aquila Merchant Services | Evergy Inc. | utilities and power generation | price-fixing or anti-competitive practices | 2004 | $26,500,000 |
Princeton Global Management Ltd. and Princeton Economics International Ltd. | | | investor protection violation | 2009 | $27,000,000 |
Duke Energy Trading and Marketing, L.L.C. | Duke Energy | utilities and power generation | price-fixing or anti-competitive practices | 2003 | $28,000,000 |
CTI Group LLC and Cooper Trading | | | investor protection violation | 2014 | $29,000,000 |
American Electric Power Company, Inc. and AEP Energy Services, Inc. | American Electric Power | utilities and power generation | data submission deficiencies | 2005 | $30,000,000 |
Coral Energy Resources, L.P. | | | data submission deficiencies | 2004 | $30,000,000 |
Deutsche Bank AG and Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2018 | $30,000,000 |
Bank of America, N.A. | Bank of America | financial services | price-fixing or anti-competitive practices | 2018 | $30,000,000 |
Jefferies Financial Services, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2022 | $30,000,000 |
HSBC Bank PLC | HSBC | financial services | investor protection violation | 2023 | $30,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | financial services | investor protection violation | 2023 | $30,000,000 |