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 |
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 |
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 |
Simply Gains, Inc. | | | investor protection violation | 2024 | $830,000 |
Nawabi Enterprise and Hyperion Consulting Inc. | | | investor protection violation | 2024 | $9,000,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | financial services | investor protection violation | 2024 | $500,000 |
U.S. Bank, N.A. | U.S. Bancorp | financial services | investor protection violation | 2024 | $6,000,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2024 | $1,000,000 |
Empires Consulting Corp. | | | investor protection violation | 2024 | $64,356,794 |
Blue Moon Investments Inc. | | | investor protection violation | 2024 | $204,622,580 |
DeBrink Trading Fund I, LLC | | | fraud | 2016 | $910,000 |
James A. Shepherd Inc. | | | fraud | 2016 | $8,060,810 |
Chicago Index Partners, L.P. (CIP) and Wilkinson Financial Opportunity Fund, L.P. | | | fraud | 2016 | $21,800,000 |
Kering Capital Ltd. | | | fraud | 2016 | $1,200,000 |
Convergent Wealth Advisors LLC | | | fraud | 2016 | $800,000 |
3Red Trading LLC | | | fraud | 2016 | $2,500,000 |
EJS Capital Management | | | fraud | 2017 | $11,600,000 |
Draven, LLC | | | fraud | 2017 | $1,487,964 |
United Business Servicing | | | fraud | 2017 | $4,941,157 |
STA Opus NR LLC | | | fraud | 2017 | $4,521,420 |
Rothlin & Windsor Capital Management, Inc. | | | fraud | 2002 | $13,924,051 |
Matrix Trading Group, Inc. | | | fraud | 2002 | $299,129 |
Myers, Arnold, Davidson, Inc. and Cooper, Thomas, Unger, Inc. | | | fraud | 2002 | $229,615 |
Vitol Inc. | Vitol | financial services | fraud | 2020 | (*)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 |
JPMorgan Chase | JPMorgan Chase | financial services | data submission deficiencies | 2016 | $225,000 |
JPMorgan Chase Bank | JPMorgan Chase | financial services | data submission deficiencies | 2015 | $100,000,000 |
Deutsche Bank AG | Deutsche Bank | financial services | data submission deficiencies | 2015 | $2,500,000 |
JPMorgan Securities | JPMorgan Chase | financial services | data submission deficiencies | 2014 | $650,000 |
Mizuho Securities USA Inc. | Mizuho Financial | financial services | data submission deficiencies | 2013 | $175,000 |
Morgan Stanley Capital Group | Morgan Stanley | financial services | data submission deficiencies | 2010 | $14,000,000 |
UBS Securities | UBS | financial services | data submission deficiencies | 2010 | $200,000 |
Citigroup Private Bank GP, Inc. | Citigroup | financial services | data submission deficiencies | 2009 | $100,000 |
J.P. Morgan Futures, Inc. | JPMorgan Chase | financial services | data submission deficiencies | 2009 | $300,000 |
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 |
UBS Fund Advisor, LLC | UBS | financial services | data submission deficiencies | 2009 | $50,000 |
BNP Paribas Commodity Futures, Ltd. | BNP Paribas | financial services | data submission deficiencies | 2008 | $25,000 |
Paradigm Capital Management LLC | | | data submission deficiencies | 2008 | $75,000 |
Russell Investments Ireland Limited and Russell Investments Cayman Ltd. | | | data submission deficiencies | 2007 | $120,000 |
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC | Bank of America | financial services | data submission deficiencies | 2007 | $500,000 |
Pioneer Futures Inc. | | | data submission deficiencies | 2007 | $25,000 |
NRG Energy, Inc. | NRG Energy | utilities and power generation | data submission deficiencies | 2007 | $2,000,000 |
Rosenthal Collins Group | | | data submission deficiencies | 2007 | $25,000 |
Dominion Resources, Inc. | Dominion Energy | utilities and power generation | data submission deficiencies | 2006 | $4,250,000 |
American Electric Power Company, Inc. and AEP Energy Services, Inc. | American Electric Power | utilities and power generation | data submission deficiencies | 2005 | $30,000,000 |
Cinergy Marketing & Trading, LP | BNP Paribas | financial services | data submission deficiencies | 2004 | $3,000,000 |
Coral Energy Resources, L.P. | | | data submission deficiencies | 2004 | $30,000,000 |
Entergy Koch Trading, L.P. | Entergy | utilities and power generation | data submission deficiencies | 2004 | $3,000,000 |
ONEOK Inc. | Oneok | pipelines | data submission deficiencies | 2004 | $3,000,000 |
The Williams Companies, Inc. | Williams Companies | oil and gas | data submission deficiencies | 2003 | $20,000,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | data submission deficiencies | 2003 | $45,000 |
Carr Futures Inc | | | data submission deficiencies | 2003 | $75,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | data submission deficiencies | 2002 | $65,000 |
RNS Holdings LP | | | data submission deficiencies | 2016 | $389,032 |
Barclays Bank PLC | Barclays | financial services | data submission deficiencies | 2016 | $500,000 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | data submission deficiencies | 2016 | $400,000 |
Societe Generale | Societe Generale | financial services | data submission deficiencies | 2016 | $450,000 |
CNCGC Hong Kong Ltd | | | data submission deficiencies | 2017 | $150,000 |
Ikon Global Markets Inc. | | | data submission deficiencies | 2017 | $200,000 |
Morgan Stanley | Morgan Stanley | financial services | data submission deficiencies | 2017 | $350,000 |
Citibank N.A. | Citigroup | financial services | data submission deficiencies | 2017 | $550,000 |
CTS Financial Publishing, Inc. | | | consumer protection violation | 2001 | $220,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | anti-money-laundering deficiencies | 2020 | $12,206,214 |
CHS Hedging LLC | CHS Inc. | agribusiness | anti-money-laundering deficiencies | 2022 | $6,500,000 |
LYFE, S.A. | | | anti-money-laundering deficiencies | 2023 | $212,014 |
Deutsche Bank Securities | Deutsche Bank | financial services | accounting fraud or deficiencies | 2014 | $3,000,000 |
JPMorgan Chase Bank | JPMorgan Chase | financial services | accounting fraud or deficiencies | 2012 | $20,000,000 |