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 |
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 |
CTS Financial Publishing, Inc. | | | consumer protection violation | 2001 | $220,000 |
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 |
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 |
Credit Suisse | UBS | financial services | investor protection violation | 2016 | $665,000 |
BNP Paribas Securities | BNP Paribas | financial services | investor protection violation | 2015 | $140,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2015 | $300,000 |
Royal Bank of Canada | Royal Bank of Canada | financial services | investor protection violation | 2014 | $35,000,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2014 | $280,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2014 | $1,200,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2014 | $490,000 |
Morgan Stanley Capital Group | Morgan Stanley | financial services | investor protection violation | 2014 | $200,000 |
JPMorgan Chase | JPMorgan Chase | financial services | investor protection violation | 2013 | $100,000,000 |
ABN AMRO Clearing Chicago LLC | ABN AMRO | financial services | investor protection violation | 2013 | $1,000,000 |
Goldman Sachs | Goldman Sachs | financial services | investor protection violation | 2012 | $1,500,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2012 | $200,000 |
JPMorgan Chase Bank | JPMorgan Chase | financial services | investor protection violation | 2012 | $600,000 |
Citigroup | Citigroup | financial services | investor protection violation | 2012 | $525,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2012 | $5,000,000 |
Goldman Sachs Execution & Clearing LP | Goldman Sachs | financial services | investor protection violation | 2012 | $7,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2012 | $140,000 |
BlackRock Institutional Trust Company NA | BlackRock | financial services | investor protection violation | 2012 | $250,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2011 | $350,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2016 | $800,000 |
Vault Options, Ltd. and Global Trader 365 | | | investor protection violation | 2016 | $4,587,371 |
Atlantas Group, Inc. | | | investor protection violation | 2016 | $7,200,000 |
Agrocorp International Pte Ltd. | | | investor protection violation | 2016 | $150,000 |
Golden Agri International Pte Ltd. | | | investor protection violation | 2016 | $150,000 |
Tech Power Inc. | | | investor protection violation | 2016 | $250,000 |
Barclays Bank PLC | Barclays | financial services | investor protection violation | 2016 | $560,000 |
DG Wealth Management | | | investor protection violation | 2016 | $17,499,623 |
Emini Experts, LLC and Capital Trading Concepts LLC | | | investor protection violation | 2016 | $2,795,901 |
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc. | | | investor protection violation | 2016 | $2,451,568 |
BFXNA Inc. d/b/a Bitfinex | | | investor protection violation | 2016 | $75,000 |
Cypress Wealth Management, Inc. | | | investor protection violation | 2016 | $430,764 |
Cunningham Commodities, LLC | | | investor protection violation | 2016 | $150,000 |
Galileo Trading LLC | | | investor protection violation | 2016 | $1,608,640 |
Badge Trading LLC | | | investor protection violation | 2016 | $280,000 |
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC | | | investor protection violation | 2016 | $4,723,246 |
Equinox Fund Management LLC | | | investor protection violation | 2016 | $5,654,004 |
IBFX Inc. | | | investor protection violation | 2016 | $1,000,000 |
CHS Inc. | CHS Inc. | agribusiness | investor protection violation | 2016 | $1,000,000 |
Banc de Binary Ltd. | | | investor protection violation | 2016 | $9,100,000 |
4X Solutions Inc. | | | investor protection violation | 2016 | $10,980,904 |
Worth Group Inc. | | | investor protection violation | 2016 | $2,500,000 |
Otkritie Capital International, Ltd. | | | investor protection violation | 2016 | $140,000 |
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. | | | investor protection violation | 2016 | $490,246,741 |