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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.

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense Type sort iconYearPenalty Amount
Phillip Capital Inc. privacy violation2019$1,500,000
CitigroupCitigroupfinancial servicesprice-fixing or anti-competitive practices2016$175,000,000
CitibankCitigroupfinancial servicesprice-fixing or anti-competitive practices2016$250,000,000
BarclaysBarclaysfinancial servicesprice-fixing or anti-competitive practices2015$400,000,000
BarclaysBarclaysfinancial servicesprice-fixing or anti-competitive practices2015$115,000,000
Deutsche BankDeutsche Bankfinancial servicesprice-fixing or anti-competitive practices2015$800,000,000
CitibankCitigroupfinancial servicesprice-fixing or anti-competitive practices2014$310,000,000
HSBC BankHSBCfinancial servicesprice-fixing or anti-competitive practices2014$275,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesprice-fixing or anti-competitive practices2014$310,000,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2014$290,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2014$290,000,000
Lloyds Banking Group plcLloyds Banking Groupfinancial servicesprice-fixing or anti-competitive practices2014$105,000,000
RabobankRabobankfinancial servicesprice-fixing or anti-competitive practices2013$475,000,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2013$325,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2012$700,000,000
Barclays PLCBarclaysfinancial servicesprice-fixing or anti-competitive practices2012$200,000,000
Amaranth Advisors, L.L.C. and Amaranth Advisors (Calgary) ULC price-fixing or anti-competitive practices2009$7,500,000
Energy Transfer Partners, L.P.Energy Transferpipelinesprice-fixing or anti-competitive practices2008$10,000,000
BP Products North America Inc.BPoil and gasprice-fixing or anti-competitive practices2007$303,000,000
Marathon Petroleum CompanyMarathon Petroleumoil and gasprice-fixing or anti-competitive practices2007$1,000,000
Concord Energy, LLC price-fixing or anti-competitive practices2007$800,000
Mirant Americas Energy Marketing LPNRG Energyutilities and power generationprice-fixing or anti-competitive practices2004$12,500,000
Enron Corp. price-fixing or anti-competitive practices2004$35,000,000
Aquila Merchant ServicesEvergy Inc.utilities and power generationprice-fixing or anti-competitive practices2004$26,500,000
e prime, Inc.Xcel Energyutilities and power generationprice-fixing or anti-competitive practices2004$16,000,000
CMS Marketing Services & Trading and CMS Field Services price-fixing or anti-competitive practices2003$16,000,000
Reliant Energy Services, Inc.NRG Energyutilities and power generationprice-fixing or anti-competitive practices2003$18,000,000
Duke Energy Trading and Marketing, L.L.C.Duke Energyutilities and power generationprice-fixing or anti-competitive practices2003$28,000,000
Enserco Energy, Inc. price-fixing or anti-competitive practices2003$3,000,000
WD Energy Services, Inc price-fixing or anti-competitive practices2003$20,000,000
El Paso Merchant Energy, L.P.Kinder Morganpipelinesprice-fixing or anti-competitive practices2003$20,000,000
Dynegy Marketing & Trade (Dynegy) and West Coast Power LLCVistra Energyutilities and power generationprice-fixing or anti-competitive practices2002$5,000,000
Avista EnergyAvistautilities and power generationprice-fixing or anti-competitive practices2001$2,100,000
Goldman SachsGoldman Sachsfinancial servicesprice-fixing or anti-competitive practices2016$120,000,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2017$85,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesprice-fixing or anti-competitive practices2018$70,000,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesprice-fixing or anti-competitive practices2018$90,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesprice-fixing or anti-competitive practices2018$65,000,000
Societe Generale S.A.Societe Generalefinancial servicesprice-fixing or anti-competitive practices2018$475,000,000
Bank of America, N.A.Bank of Americafinancial servicesprice-fixing or anti-competitive practices2018$30,000,000
ICAP Capital Markets LLCCME Groupfinancial servicesprice-fixing or anti-competitive practices2018$50,000,000
Kraft FoodsKraft Heinzfood productsprice-fixing or anti-competitive practices2019$8,000,000
Mondelez GlobalMondelez Internationalfood productsprice-fixing or anti-competitive practices2019$8,000,000
Glencore International A.G.Glencorefinancial servicesprice-fixing or anti-competitive practices2022$1,186,000,000
Ceres Global Ag Corp. price-fixing or anti-competitive practices2023$3,000,000
Credit SuisseUBSfinancial servicesinvestor protection violation2016$665,000
BNP Paribas SecuritiesBNP Paribasfinancial servicesinvestor protection violation2015$140,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2015$300,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesinvestor protection violation2014$35,000,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014$280,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2014$1,200,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014$490,000
Morgan Stanley Capital GroupMorgan Stanleyfinancial servicesinvestor protection violation2014$200,000
JPMorgan ChaseJPMorgan Chasefinancial servicesinvestor protection violation2013$100,000,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2013$1,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2012$1,500,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2012$200,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesinvestor protection violation2012$600,000
CitigroupCitigroupfinancial servicesinvestor protection violation2012$525,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2012$5,000,000
Goldman Sachs Execution & Clearing LPGoldman Sachsfinancial servicesinvestor protection violation2012$7,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2012$140,000
BlackRock Institutional Trust Company NABlackRockfinancial servicesinvestor protection violation2012$250,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$350,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$800,000
Vault Options, Ltd. and Global Trader 365 investor protection violation2016$4,587,371
Atlantas Group, Inc. investor protection violation2016$7,200,000
Agrocorp International Pte Ltd. investor protection violation2016$150,000
Golden Agri International Pte Ltd. investor protection violation2016$150,000
Tech Power Inc. investor protection violation2016$250,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2016$560,000
DG Wealth Management investor protection violation2016$17,499,623
Emini Experts, LLC and Capital Trading Concepts LLC investor protection violation2016$2,795,901
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc. investor protection violation2016$2,451,568
BFXNA Inc. d/b/a Bitfinex investor protection violation2016$75,000
Cypress Wealth Management, Inc. investor protection violation2016$430,764
Cunningham Commodities, LLC investor protection violation2016$150,000
Galileo Trading LLC investor protection violation2016$1,608,640
Badge Trading LLC investor protection violation2016$280,000
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC investor protection violation2016$4,723,246
Equinox Fund Management LLC investor protection violation2016$5,654,004
IBFX Inc. investor protection violation2016$1,000,000
CHS Inc.CHS Inc.agribusinessinvestor protection violation2016$1,000,000
Banc de Binary Ltd. investor protection violation2016$9,100,000
4X Solutions Inc. investor protection violation2016$10,980,904
Worth Group Inc. investor protection violation2016$2,500,000
Otkritie Capital International, Ltd. investor protection violation2016$140,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. investor protection violation2016$490,246,741
Total Gas & Power North America, Inc.TotalEnergies SEoil and gasinvestor protection violation2015$3,600,000
Sharpe Signa, LLC and Haeres Capital, LLC investor protection violation2015$70,000
Sentry Asset Group, LLC d/b/a Sentry Asset Management, LLC investor protection violation2015$378,767
Executive Management Advisors L.L.C. investor protection violation2015$31,000,000
Direct Investment Products, Inc. investor protection violation2015$3,851,633
Alfred C. Toepfer International, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2015$400,000
Pure Reason LLC investor protection violation2015$140,000
American Portfolio Asset Management, Inc. investor protection violation2015$578,474
Global Consortiums LLC investor protection violation2015$589,660
Futures International LLC investor protection violation2015$500,000
Nord Capital Advisors LLC investor protection violation2015$280,000
Cargill de Mexico SA De CVCargillagribusinessinvestor protection violation2015$500,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2015$150,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.