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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 TypeYearPenalty Amount sort icon
Aurifex Commodities Research Company investor protection violation2008$150,000
Trade Exchange Network Limited investor protection violation2005$150,000
CNCGC Hong Kong Ltd data submission deficiencies2017$150,000
Davisco Foods International, Inc.Agropurfood productsinvestor protection violation2017$150,000
W Resources LLC investor protection violation2017$150,000
Tillage Commodities, LLC investor protection violation2017$150,000
X-Change Financial Access LLC investor protection violation2018$150,000
Korea Exchange, Inc. investor protection violation2019$150,000
Plutus Financial, Inc. d/b/a Abra investor protection violation2020$150,000
DARMA, LLC investor protection violation2023$150,000
Challenger Life Company Limited investor protection violation2023$150,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2018$160,000
Elephas Investment Management Ltd. investor protection violation2019$160,000
First Options of Chicago, Inc. investor protection violation2000$163,000
Supama International DMCC investor protection violation2008$164,680
Mizuho Securities USA Inc.Mizuho Financialfinancial servicesdata submission deficiencies2013$175,000
Gage's Fertilizer & Grain, Inc. investor protection violation2010$175,000
Sempra Energy Trading LLCSempra Energyutilities and power generationinvestor protection violation2008$175,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2007$175,000
Intergrain S.A. investor protection violation2019$175,000
Amaggi Exportacao e Importacao Ltda. investor protection violation2021$175,000
Velocity Futures, LLC investor protection violation2011$180,000
Dearborn Trading, Inc. investor protection violation2011$180,000
Quantum Financial Network, LLC investor protection violation2022$192,894
J Squared LLC investor protection violation2021$198,555
York Business Associates LLC d/b/a TransAct Futures investor protection violation2012$199,000
Morgan Stanley Capital GroupMorgan Stanleyfinancial servicesinvestor protection violation2014$200,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2012$200,000
UBS SecuritiesUBSfinancial servicesdata submission deficiencies2010$200,000
INTL FCStone Markets, LLCStoneX Groupfinancial servicesinvestor protection violation2015$200,000
Global Futures & Forex, Ltd.StoneX Groupfinancial servicesinvestor protection violation2014$200,000
MB Trading Futures Inc. investor protection violation2013$200,000
ADM Investor Services, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2009$200,000
Linuxor Asset Management LLC investor protection violation2008$200,000
Shell International Trading and Shipping Co.Shell PLCoil and gasinvestor protection violation2006$200,000
Ikon Global Markets Inc. data submission deficiencies2017$200,000
Vision Financial Markets LLC investor protection violation2019$200,000
Asset Risk Management, LLC investor protection violation2022$200,000
ZeroEx, Inc. investor protection violation2023$200,000
LYFE, S.A. anti-money-laundering deficiencies2023$212,014
Bull Run Advantage, LLC investor protection violation2023$215,719
Acceleration Capital, LLC investor protection violation2007$218,000
Newedge USA, LLC investor protection violation2011$220,000
CTS Financial Publishing, Inc. consumer protection violation2001$220,000
Eagle Market Makers Inc. investor protection violation2012$223,000
JPMorgan ChaseJPMorgan Chasefinancial servicesdata submission deficiencies2016$225,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2013$225,000
Huafu HK Co. Ltd. investor protection violation2017$225,000
Myers, Arnold, Davidson, Inc. and Cooper, Thomas, Unger, Inc. fraud2002$229,615
Phillips Investment & Trust LLC and Corporate I Communications & Technology Inc. investor protection violation2015$234,500
COES FX Clearing, Inc. investor protection violation2006$246,601
BlackRock Institutional Trust Company NABlackRockfinancial servicesinvestor protection violation2012$250,000
Tech Power Inc. investor protection violation2016$250,000
Stuckey Group, L.P., Stuckey Group II, L.P. and Oakwood Development Company, L.P. investor protection violation2012$250,000
Open E Cry, LLC investor protection violation2012$250,000
Scotia Capital Inc.Scotiabankfinancial servicesinvestor protection violation2010$250,000
Angus Partners LLC investor protection violation2016$250,000
Logista Advisors LLC investor protection violation2017$250,000
Mintco LLC investor protection violation2017$250,000
Mizuho Bank, Ltd.Mizuho Financialfinancial servicesinvestor protection violation2018$250,000
ADM Investor Services Inc.Archer Daniels Midlandagribusinessinvestor protection violation2019$250,000
Cunningham Commodities, LLC investor protection violation2020$250,000
Marex North America LLC investor protection violation2020$250,000
bZeroX, LLC investor protection violation2022$250,000
Opyn, Inc. investor protection violation2023$250,000
Bryant Capital Trade Management Corporation investor protection violation2023$250,655
FCStone, LLC and Commodity Operations Inc.StoneX Groupfinancial servicesinvestor protection violation2012$260,000
Alaron Trading Corporation investor protection violation2010$260,000
Guardian Futures, Inc. investor protection violation2010$260,000
Forefront Investment Corporation investor protection violation2008$260,000
Capital Market Services, LLC investor protection violation2014$275,000
FXDirectDealer, LLC investor protection violation2013$275,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014$280,000
Badge Trading LLC investor protection violation2016$280,000
Nord Capital Advisors LLC investor protection violation2015$280,000
Farr Financial Inc. investor protection violation2012$280,000
ProfitStars Intl, Corp. investor protection violation2012$280,000
ForInvest Group investor protection violation2011$280,000
E*TRADE Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2017$280,000
INTL FCStone Financial Inc.StoneX Groupfinancial servicesinvestor protection violation2017$280,000
Alaron Trading Corporation investor protection violation2008$299,000
Matrix Trading Group, Inc. fraud2002$299,129
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2015$300,000
Velocity Futures, LLC investor protection violation2013$300,000
R.J. O'Brien & Associates, LLC investor protection violation2013$300,000
J.P. Morgan Futures, Inc.JPMorgan Chasefinancial servicesdata submission deficiencies2009$300,000
Copersucar Trading A.V.V. investor protection violation2017$300,000
Arab Global Commodities DMCC investor protection violation2017$300,000
Global Asset Advisors LLC d/b/a Daniels Trading investor protection violation2018$300,000
Honouround (HK) International Trade Co. Ltd.? investor protection violation2018$300,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesinvestor protection violation2019$300,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$300,000
Gain Capital Group, LLCStoneX Groupfinancial servicesinvestor protection violation2020$300,000
Rosenthal Collins Group, LLC investor protection violation2008$310,000
Newport Private Capital LLC investor protection violation2018$315,000
Man Financial Inc. investor protection violation2007$316,900
Commercial Hedge Services, Inc. investor protection violation2007$325,000
Trans Global Investments, LLC investor protection violation2013$340,000
Infinity Futures LLC investor protection violation2012$340,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$350,000
GlobeFX Club, Inc. investor protection violation2012$350,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.