Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Agency Summary Page

Agency Name: Commodity Futures Trading Commission
Penalty Total since 2000: $18,422,323,473
Number of Records: 782
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 Industry sort iconPrimary Offense TypeYearPenalty Amount
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2007$175,000
Credit Lyonnais Rouse LimitedCredit Agricolefinancial servicesinvestor protection violation2005$85,000
Cinergy Marketing & Trading, LPBNP Paribasfinancial servicesdata submission deficiencies2004$3,000,000
Credit Lyonnais Rouse LimitedCredit Agricolefinancial servicesinvestor protection violation2004$25,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesdata submission deficiencies2003$45,000
Prudential Securities, Inc.Wells Fargofinancial servicesdata submission deficiencies2002$65,000
Republic New York Securities CorporationHSBCfinancial servicesinvestor protection violation2001$5,000,000
Barclays Bank PLCBarclaysfinancial servicesdata submission deficiencies2016$500,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesdata submission deficiencies2016$400,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2016$750,000
Societe GeneraleSociete Generalefinancial servicesdata submission deficiencies2016$450,000
Goldman SachsGoldman Sachsfinancial servicesprice-fixing or anti-competitive practices2016$120,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$900,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$25,000,000
E*TRADE Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2017$280,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2017$85,000,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupfinancial servicesinvestor protection violation2017$600,000
INTL FCStone Financial Inc.StoneX Groupfinancial servicesinvestor protection violation2017$280,000
Morgan StanleyMorgan Stanleyfinancial servicesdata submission deficiencies2017$350,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2017$500,000
Citibank N.A.Citigroupfinancial servicesdata submission deficiencies2017$550,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2017$2,500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesprice-fixing or anti-competitive practices2018$70,000,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2018$1,600,000
UBS AGUBSfinancial servicesinvestor protection violation2018$15,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$30,000,000
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
Commerzbank AGCommerzbankfinancial servicesinvestor protection violation2018$12,000,000
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2018$800,000
Mizuho Bank, Ltd.Mizuho Financialfinancial servicesinvestor protection violation2018$250,000
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
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2018$750,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2018$160,000
Merrill Lynch Commodities, Inc.Bank of Americafinancial servicesinvestor protection violation2019(*)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
BGC Financial, L.P.BGC Partnersfinancial servicesinvestor protection violation2019$3,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesinvestor protection violation2019$14,475,000
BGC Financial, LPBGC Partnersfinancial servicesinvestor protection violation2019$15,000,000
GFI Securities, LLCBGC Partnersfinancial servicesinvestor protection violation2019$10,000,000
Morgan Stanley Capital Group Inc.Morgan Stanleyfinancial servicesinvestor protection violation2019$1,500,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesinvestor protection violation2019$300,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2019$750,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2019$850,000
Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2019$1,000,000
Societe Generale International LimitedSociete Generalefinancial servicesinvestor protection violation2019$2,500,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2019$650,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019$5,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$300,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2019$1,000,000
The Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2020$50,000,000
The Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2020$77,400,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesanti-money-laundering deficiencies2020$12,206,214
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2020$9,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2020$1,250,000
Vitol Inc.Vitolfinancial servicesfraud2020(*)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
Morgan Stanley Capital Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
Gain Capital Group, LLCStoneX Groupfinancial servicesinvestor protection violation2020$300,000
JPMorgan Chase & CompanyJPMorgan Chasefinancial servicesinvestor protection violation2020$920,200,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2020$4,500,000
Coinbase Inc.Coinbase Global Inc.financial servicesinvestor protection violation2021$6,500,000
Credit SuisseUBSfinancial servicesinvestor protection violation2021$1,500,000
UBS AGUBSfinancial servicesinvestor protection violation2021$500,000
Societe Generale S.A.Societe Generalefinancial servicesinvestor protection violation2021$1,500,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2021$84,320,000
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2021$1,500,000
Citibank, N.A.Citigroupfinancial servicesinvestor protection violation2021$1,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2021$75,000,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2022$1,010,828
Glencore International A.G.Glencorefinancial servicesprice-fixing or anti-competitive practices2022$1,186,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2022$850,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2022$6,000,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2022$100,000,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2022$75,000,000
Cantor FitzgeraldCantor Fitzgeraldfinancial servicesinvestor protection violation2022$6,000,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2022$75,000,000
Credit SuisseUBSfinancial servicesinvestor protection violation2022$75,000,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2022$75,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2022$75,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2022$75,000,000
Nomura SecuritiesNomurafinancial servicesinvestor protection violation2022$50,000,000
UBS AGUBSfinancial servicesinvestor protection violation2022$75,000,000
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2023$6,847,182
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2023$15,000,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2023$45,000,000
HSBC Bank PLCHSBCfinancial servicesinvestor protection violation2023$30,000,000
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2023$15,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023$6,000,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2023$75,000,000
Societe GeneraleSociete Generalefinancial servicesinvestor protection violation2023$75,000,000
Wells FargoWells Fargofinancial servicesinvestor protection violation2023$75,000,000
Bank of MontrealBank of Montrealfinancial servicesinvestor protection violation2023$35,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2023$5,500,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$30,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2023$15,000,000
Bank of America, N.A.Bank of Americafinancial servicesinvestor protection violation2023$8,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$3,000,000
Interactive Brokers Corp. and Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2023$20,000,000
StoneX Markets LLCStoneX Groupfinancial servicesinvestor protection violation2023$650,000
Binance Holdings Limited et al.Binance Holdingsfinancial servicesinvestor protection violation2023(*)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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.