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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.

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount sort icon
Safeguard 3030 Investment Club investor protection violation2012$3,000,000
Cinergy Marketing & Trading, LPBNP Paribasfinancial servicesdata submission deficiencies2004$3,000,000
Entergy Koch Trading, L.P.Entergyutilities and power generationdata submission deficiencies2004$3,000,000
ONEOK Inc.Oneokpipelinesdata submission deficiencies2004$3,000,000
Enserco Energy, Inc. price-fixing or anti-competitive practices2003$3,000,000
Intrade The Prediction Market Limited (Intrade) and Trade Exchange Network Limited investor protection violation2018$3,000,000
BGC Financial, L.P.BGC Partnersfinancial servicesinvestor protection violation2019$3,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$3,000,000
Ceres Global Ag Corp. price-fixing or anti-competitive practices2023$3,000,000
Coquest Inc. et al. investor protection violation2023$2,996,021
Forex Auto Profits, LLC investor protection violation2011$2,900,000
Rusfeldt Investments LLP investor protection violation2008$2,889,071
JBW Capital LLC investor protection violation2014$2,860,000
Tradewale LLC and Tradewale Managed Fund investor protection violation2023$2,853,810
Panther Energy Trading LLC investor protection violation2013$2,800,000
Angus Jackson, Inc. investor protection violation2013$2,800,000
Strongbow Investments GP, LLC investor protection violation2010$2,800,000
Natixis investor protection violation2022$2,800,000
Emini Experts, LLC and Capital Trading Concepts LLC investor protection violation2016$2,795,901
FXDirectDealer, LLC investor protection violation2013$2,740,000
Blackbox Pulse, LLC investor protection violation2019$2,712,807
Bentley Equities, LLC investor protection violation2013$2,700,000
Lucrative Pips Corporation investor protection violation2019$2,694,799
Golden Signals LLC investor protection violation2022$2,613,276
TC Credit Service d/b/a Del-Mair Group investor protection violation2012$2,600,000
Crabapple Capital Group LLC investor protection violation2012$2,600,000
Prosperity Team, LLC investor protection violation2012$2,600,000
JadeFX, LTD and Jade Investments Group, LLC investor protection violation2011$2,600,000
Paramount Metals Exchange and Paramount Credit investor protection violation2015$2,595,946
Champion Management International, LLC investor protection violation2014$2,544,722
Deutsche Bank AGDeutsche Bankfinancial servicesdata submission deficiencies2015$2,500,000
Worth Group Inc. investor protection violation2016$2,500,000
Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC investor protection violation2012$2,500,000
Rosenthal Collins Group, LLC investor protection violation2012$2,500,000
3Red Trading LLC fraud2016$2,500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2017$2,500,000
Societe Generale International LimitedSociete Generalefinancial servicesinvestor protection violation2019$2,500,000
United States Commodity Funds LLC investor protection violation2021$2,500,000
Financial Robotics, Inc. investor protection violation2014$2,481,000
First Lexington Group investor protection violation2008$2,466,063
SR&B Investment Enterprises, Inc. investor protection violation2023$2,461,877
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc. investor protection violation2016$2,451,568
Foreign Fund (a/k/a First Bank) investor protection violation2008$2,432,486
Gelfman Blueprint, Inc. investor protection violation2018$2,408,734
Paramount Management, LLC investor protection violation2013$2,400,000
GID Group, Inc. investor protection violation2013$2,400,000
Allied Markets, LLC investor protection violation2019$2,400,000
CTAX Series, LLC investor protection violation2022$2,358,661
Global Strategic Marketing, Inc. investor protection violation2014$2,292,798
Apuro Holdings Ltd et al. investor protection violation2019$2,243,344
The Alista Group, LLC investor protection violation2021$2,242,162
Cifuentes Fund Management, LLC investor protection violation2018$2,227,120
Global Precious Metals Trading Company investor protection violation2013$2,200,000
Alliance Development Company investor protection violation2008$2,200,000
Avista EnergyAvistautilities and power generationprice-fixing or anti-competitive practices2001$2,100,000
iGlobal Strategic Management, LLC investor protection violation2012$2,000,000
Longbranch Group International LLC investor protection violation2011$2,000,000
Daniels Trading Group LLC investor protection violation2011$2,000,000
MF Global Inc. investor protection violation2007$2,000,000
NRG Energy, Inc.NRG Energyutilities and power generationdata submission deficiencies2007$2,000,000
Glencore Agriculture B.V., investor protection violation2018$2,000,000
Assurance Capital Management, LLC investor protection violation2017$1,969,165
BGC Derivative Markets, L.P. investor protection violation2022$1,900,000
Lunden Forex Partners, LP, Lunden Forex Management, LLC , Black Horse Funds, LLC, Black Horse Management, LLC, and Black Horse Partners, LP investor protection violation2012$1,890,000
Arjent Capital Markets LLC and Chicago Trading Managers LLC investor protection violation2013$1,800,000
PMC Strategy, LLC investor protection violation2013$1,800,000
Forex Capital Trading Group, Forex Capital Trading Partners, and Highland Stone Capital Management investor protection violation2012$1,800,000
Victory Asset investor protection violation2018$1,800,000
Fintech Investment Group Inc. andCompcoin LLC investor protection violation2022$1,800,000
Hard Eight Futures, LLC investor protection violation2019$1,750,000
FuturesFX investor protection violation2020$1,750,000
International Currency Exchange, Inc. investor protection violation2007$1,650,000
North American Asset Management, LLC investor protection violation2017$1,626,189
Galileo Trading LLC investor protection violation2016$1,608,640
Peak Capital Management Group, Inc. investor protection violation2014$1,600,000
Yellowstone Partners, Inc. investor protection violation2011$1,600,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2018$1,600,000
The Yorkshire Group, Inc. investor protection violation2016$1,569,801
Cocoon Trade, Inc investor protection violation2009$1,542,787
Currency Trading Systems investor protection violation2001$1,521,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2012$1,500,000
Newbridge Metals, LLC investor protection violation2013$1,500,000
ACJ Capital Inc., and Solid View Capital LLC investor protection violation2013$1,500,000
FCStone LLCStoneX Groupfinancial servicesinvestor protection violation2013$1,500,000
Sheenson Investments, Ltd. investor protection violation2012$1,500,000
Calpine Energy Services, L.P.Energy Capital Partnersprivate equity (including portfolio companies)investor protection violation2004$1,500,000
Advantage Futures LLC investor protection violation2016$1,500,000
McVean Trading & Investments, LLC investor protection violation2017$1,500,000
Geneva Trading USA, LLC investor protection violation2018$1,500,000
Morgan Stanley Capital Group Inc.Morgan Stanleyfinancial servicesinvestor protection violation2019$1,500,000
Classic Energy LLC investor protection violation2019$1,500,000
Phillip Capital Inc. privacy violation2019$1,500,000
Tyson Foods, Inc.Tyson Foodsfood productsinvestor protection violation2021$1,500,000
Credit SuisseUBSfinancial servicesinvestor protection violation2021$1,500,000
Bitfinex investor protection violation2021$1,500,000
Societe Generale S.A.Societe Generalefinancial servicesinvestor protection violation2021$1,500,000
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2021$1,500,000
Draven, LLC fraud2017$1,487,964
Wright Time Capital Group LLC investor protection violation2018$1,485,000
My Global Leverage, LLC investor protection violation2016$1,465,528
Galaxy Resources 2000, LLC investor protection violation2008$1,435,470
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.