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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.

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYear sort iconPenalty Amount
J Squared LLC investor protection violation2021$198,555
The Alista Group, LLC investor protection violation2021$2,242,162
Circle Society, Corp. investor protection violation2021$32,141,375
Negus Capital Incorporated investor protection violation2021$1,178,180
Coinbase Inc.Coinbase Global Inc.financial servicesinvestor protection violation2021$6,500,000
Silver Star FX LLC dba Silver Star Live and Silver Star Live Software LLC investor protection violation2021$23,506,392
Tyson Foods, Inc.Tyson Foodsfood productsinvestor protection violation2021$1,500,000
HDR Global Trading Limited et al. investor protection violation2021$50,000,000
Laino Group Limited d/b/a PaxForex investor protection violation2021$374,864
Credit SuisseUBSfinancial servicesinvestor protection violation2021$1,500,000
Amaggi Exportacao e Importacao Ltda. investor protection violation2021$175,000
Classic Energy LLC investor protection violation2021$585,000
Denari Capital, LLC investor protection violation2021$3,663,282
Digital Platinum Limited investor protection violation2021$6,000,000
United States Commodity Funds LLC investor protection violation2021$2,500,000
Tether Holdings Limited et al. investor protection violation2021$41,000,000
Bitfinex investor protection violation2021$1,500,000
UBS AGUBSfinancial servicesinvestor protection violation2021$500,000
Lighthouse Futures, Ltd. investor protection violation2021$370,000
ICE Clear Europe Limited investor protection violation2021$450,000
Cargill Inc.Cargillagribusinessinvestor protection violation2021$750,000
Societe Generale S.A.Societe Generalefinancial servicesinvestor protection violation2021$1,500,000
Symphony Communication Services, LLC investor protection violation2021$100,000
Payward Ventures, Inc. d/b/a Kraken investor protection violation2021$1,250,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2021$84,320,000
KatchPips FX LLC investor protection violation2021$374,480
Refinitiv US SEF LLC investor protection violation2021$650,000
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
Aralia Securities, Ltd. And Vintage Bullion DMC investor protection violation2021$100,000
Easterday Ranches, Inc. investor protection violation2021$263,008,042
Dinar Corp., Inc. and My Monex, Inc. investor protection violation2020$22,600,000
Catalyst Capital Advisors LLC investor protection violation2020$10,208,481
Mirae Asset Daewoo Co., Ltd. investor protection violation2020$700,000
Gain Capital UK Limited investor protection violation2020$491,671
FuturesFX investor protection violation2020$1,750,000
Amada Capital Management LLC investor protection violation2020$596,700
Edge Financial Technologies, LLC investor protection violation2020$145,200
OANDA Corporation investor protection violation2020$500,000
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
New York Mercantile Exchange (NYMEX) investor protection violation2020$4,000,000
Southwest Group, LLC investor protection violation2020$75,000
Plutus Financial, Inc. d/b/a Abra investor protection violation2020$150,000
Perfection PR Firm LLC investor protection violation2020$1,296,572
Foremost Trading LLC investor protection violation2020$923,013
Cunningham Commodities, LLC investor protection violation2020$250,000
VOS Capital Management, LLC investor protection violation2020$3,813,875
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
Venture Capital Investments LLC investor protection violation2020$900,604
Black Diamond Forex LP, BDF Trading LP, and Advanta FX investor protection violation2020$1,200,000
Morgan Stanley Capital Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
A&A Trading, Inc. investor protection violation2020$495,329
Sunoco LPEnergy Transferpipelinesinvestor protection violation2020$450,000
ARB Trading Group LP investor protection violation2020$445,000
Gain Capital Group, LLCStoneX Groupfinancial servicesinvestor protection violation2020$300,000
JPMorgan Chase & CompanyJPMorgan Chasefinancial servicesinvestor protection violation2020$920,200,000
FNY Partners Fund LP investor protection violation2020$450,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2020$4,500,000
Marex North America LLC investor protection violation2020$250,000
Marex Spectron International Limited investor protection violation2020$120,000
EOX Holdings LLC investor protection violation2020$120,000
Futures International LLC investor protection violation2020$120,000
OTC Europe LLP investor protection violation2020$120,000
Sukarne SA de CV investor protection violation2020$35,000
Southwest Services, L.L.C. investor protection violation2020$740,968
TFS-ICAP LLC and TFS-ICAP Ltd. investor protection violation2020$7,000,000
1pool Ltd. investor protection violation2019$421,000
Royal Leisure International, Inc. and Gold Chasers, Inc. investor protection violation2019$10,970,756
The Tulving Company, Inc. investor protection violation2019$15,761,432
Pishon Holding LLC investor protection violation2019$1,259,317
Blackbox Pulse, LLC investor protection violation2019$2,712,807
Mark Olsen Mining Company investor protection violation2019$3,631,280
Apuro Holdings Ltd et al. investor protection violation2019$2,243,344
ADM Investor Services Inc.Archer Daniels Midlandagribusinessinvestor protection violation2019$250,000
Eagle Market Makers, Inc. investor protection violation2019$350,000
Elephas Investment Management Ltd. investor protection violation2019$160,000
Essex Futures investor protection violation2019$500,000
Korea Exchange, Inc. investor protection violation2019$150,000
Kraft FoodsKraft Heinzfood productsprice-fixing or anti-competitive practices2019$8,000,000
Lucrative Pips Corporation investor protection violation2019$2,694,799
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
Mondelez GlobalMondelez Internationalfood productsprice-fixing or anti-competitive practices2019$8,000,000
The Kane Capital Investment Group, LLC investor protection violation2019$1,232,510
Vision Financial Markets LLC investor protection violation2019$200,000
Zilmil, Inc. investor protection violation2019$22,854,289
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
Mitsubishi Corporation RtM Japan Ltd.Mitsubishi Corporationdiversifiedinvestor protection violation2019$500,000
Tower Research Capital LLC investor protection violation2019$67,493,849
Silver Star FX, LLC et al. investor protection violation2019$75,000
Blue Bit Banc et al. investor protection violation2019$3,346,405
XBT Corp. SARL d/b/a First Global Credit investor protection violation2019$100,000
Allied Markets, LLC investor protection violation2019$2,400,000
Omega Knight 2, LLC investor protection violation2019$15,257,028
Upstream Energy Services LLC investor protection violation2019$75,000
Treasury Vault, LLC investor protection violation2019$75,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.