Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount sort icon
Silver Star FX LLC dba Silver Star Live and Silver Star Live Software LLC investor protection violation2021$23,506,392
Phaetra Capital GP LLC, Phaetra Capital Management LP, and Argenta Group LLC investor protection violation2018$23,117,551
Complete Developments, LLC and Investment International Inc. investor protection violation2013$23,000,000
Fabio Bretas de Freitas and Phy Capital Investments LLC investor protection violation2019$22,986,190
Zilmil, Inc. investor protection violation2019$22,854,289
Trader's International Return Network investor protection violation2013$22,800,000
Dinar Corp., Inc. and My Monex, Inc. investor protection violation2020$22,600,000
Century Maxim Fund and AJR Capital investor protection violation2007$22,500,000
Risk Capital Trading Group, Inc investor protection violation2006$22,000,000
Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc. investor protection violation2007$21,819,785
Chicago Index Partners, L.P. (CIP) and Wilkinson Financial Opportunity Fund, L.P. fraud2016$21,800,000
Tyche Asset Management LLC et al. investor protection violation2023$21,308,692
Trigon Group, Inc. investor protection violation2012$20,600,000
First Capitol Futures Group investor protection violation2010$20,300,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesaccounting fraud or deficiencies2012$20,000,000
The Williams Companies, Inc.Williams Companiesoil and gasdata submission deficiencies2003$20,000,000
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
Interactive Brokers Corp. and Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2023$20,000,000
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services investor protection violation2006$19,555,041
Williams Advisory Group, LLC investor protection violation2018$19,450,034
CRW Management LP investor protection violation2011$19,000,000
Cromwell Financial Services, Inc. investor protection violation2007$18,400,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2015$18,000,000
American Bullion Exchange investor protection violation2014$18,000,000
Reliant Energy Services, Inc.NRG Energyutilities and power generationprice-fixing or anti-competitive practices2003$18,000,000
DG Wealth Management investor protection violation2016$17,499,623
Capital Blu Management, LLC investor protection violation2011$17,000,000
Liberty Financial Trading Corp., Inc. and Liberty Real Assets Investment Corporation investor protection violation2007$16,403,000
M25 Investments, Inc. and M37 Investments, LLC investor protection violation2010$16,200,000
DCAST Capital Investments LLCandFive Traders LLC investor protection violation2023$16,087,440
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
Mondelez GlobalMondelez Internationalfood productsinvestor protection violation2022$16,000,000
Financial Tree Trust et al. investor protection violation2022$15,900,000
Altamont Global Partners LLC investor protection violation2014$15,800,000
Brookshire Raw Materials Management, LLC investor protection violation2011$15,800,000
The Tulving Company, Inc. investor protection violation2019$15,761,432
The Trade Tech Institute, Inc. and Technology Trading International, Inc. investor protection violation2012$15,759,357
New York Options Exchange, Tahoe Futures, International Energy Exchange, Vitol Capital Management,New York Petroleum Option Exchange, HPR Commodities, investor protection violation2007$15,524,957
Omega Knight 2, LLC investor protection violation2019$15,257,028
UBS AGUBSfinancial servicesinvestor protection violation2018$15,000,000
BGC Financial, LPBGC Partnersfinancial servicesinvestor protection violation2019$15,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2023$15,000,000
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2023$15,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2023$15,000,000
Worldwide Commodity Corporation and South Coast Commodities, Inc. investor protection violation2006$14,700,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesinvestor protection violation2019$14,475,000
Forex Capital Markets LLCJefferies Financial Groupdiversifiedinvestor protection violation2011$14,200,000
Morgan Stanley Capital GroupMorgan Stanleyfinancial servicesdata submission deficiencies2010$14,000,000
Optiver Holding BV investor protection violation2012$14,000,000
Rothlin & Windsor Capital Management, Inc. fraud2002$13,924,051
Kooima & Kaemingk Commodities, Inc. investor protection violation2018$13,170,857
Parnon Energy Inc., Arcadia Petroleum Ltd., and Arcadia Energy (Suisse) SA investor protection violation2014$13,000,000
Tullett Prebon Americas Inc. investor protection violation2019$13,000,000
Mirant Americas Energy Marketing LPNRG Energyutilities and power generationprice-fixing or anti-competitive practices2004$12,500,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesanti-money-laundering deficiencies2020$12,206,214
International Investments Holdings Corp. investor protection violation2006$12,120,000
Liquid Capital Management, LLC investor protection violation2011$12,000,000
ConAgra Trade Group, Inc.Marubenidiversifiedinvestor protection violation2010$12,000,000
Dairy Farmers of America, Inc.Dairy Farmers of America (DFA)food productsinvestor protection violation2008$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 violation2008$12,000,000
Commerzbank AGCommerzbankfinancial servicesinvestor protection violation2018$12,000,000
Prestige Capital Advisors and D2W Capital Management investor protection violation2013$11,700,000
EJS Capital Management fraud2017$11,600,000
E-Slate, Inc. investor protection violation2018$11,183,497
Northstar International Group, Inc. investor protection violation2011$11,000,000
4X Solutions Inc. investor protection violation2016$10,980,904
Tallinex investor protection violation2018$10,971,279
Royal Leisure International, Inc. and Gold Chasers, Inc. investor protection violation2019$10,970,756
Longboat Global Funds Management investor protection violation2007$10,317,183
Catalyst Capital Advisors LLC investor protection violation2020$10,208,481
Elite Management Holdings Corp. and MJM Enterprises LLC investor protection violation2014$10,000,000
MF Global Inc. investor protection violation2009$10,000,000
Energy Transfer Partners, L.P.Energy Transferpipelinesprice-fixing or anti-competitive practices2008$10,000,000
Cargill Inc.Cargillagribusinessinvestor protection violation2017$10,000,000
GFI Securities, LLCBGC Partnersfinancial servicesinvestor protection violation2019$10,000,000
International Monetary Metals, Inc. investor protection violation2016$9,800,000
Gold Coast Bullion Inc. investor protection violation2015$9,690,124
Wall Street Underground, Inc. investor protection violation2006$9,500,000
Growth Capital Management LLC investor protection violation2012$9,300,000
Banc de Binary Ltd. investor protection violation2016$9,100,000
E-Metal Merchants, Inc. investor protection violation2008$9,042,241
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2020$9,000,000
First American Investment Services, Inc. investor protection violation2006$8,983,388
Bluprint LLC investor protection violation2023$8,863,753
Philadelphia Alternative Asset Management Co. investor protection violation2008$8,800,000
Maverick International, Inc. investor protection violation2018$8,605,274
James A. Shepherd Inc. fraud2016$8,060,810
New Golden Investment Group investor protection violation2011$8,000,000
Kraft FoodsKraft Heinzfood productsprice-fixing or anti-competitive practices2019$8,000,000
Mondelez GlobalMondelez Internationalfood productsprice-fixing or anti-competitive practices2019$8,000,000
Bank of America, N.A.Bank of Americafinancial servicesinvestor protection violation2023$8,000,000
Main & Prospect Capital, LLC investor protection violation2022$7,606,395
World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc. investor protection violation2004$7,520,580
RFF GP LLC and KGW Capital Management LLC investor protection violation2015$7,515,888
Amaranth Advisors, L.L.C. and Amaranth Advisors (Calgary) ULC price-fixing or anti-competitive practices2009$7,500,000
Atlantas Group, Inc. investor protection violation2016$7,200,000
Goldman Sachs Execution & Clearing LPGoldman Sachsfinancial servicesinvestor protection violation2012$7,000,000
Western Gas Resources, Inc. investor protection violation2004$7,000,000
Forex Capital Markets, LLCJefferies Financial Groupdiversifiedinvestor protection violation2017$7,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.