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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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
MF Global Holdings Ltd. investor protection violation2014$1,312,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$300,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americafinancial servicesdata submission deficiencies2007$500,000
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
Merrill LynchBank of Americafinancial servicesinvestor protection violation2014$1,200,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$350,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2017$2,500,000
McVean Trading & Investments, LLC investor protection violation2017$1,500,000
McCall Business Group, LLC and MBG Global, LLC investor protection violation2010$3,800,000
MBF Clearing Corp. investor protection violation2012$650,000
MB Trading Futures Inc. investor protection violation2013$200,000
Maverick International, Inc. investor protection violation2018$8,605,274
Matrix Trading Group, Inc. fraud2002$299,129
Marubeni America CorporationMarubenidiversifiedinvestor protection violation2015$800,000
Mark Olsen Mining Company investor protection violation2019$3,631,280
Marex Spectron International Limited investor protection violation2020$120,000
Marex North America LLC investor protection violation2020$250,000
Marbury Advisors Inc. investor protection violation2017$4,441,652
Marathon Petroleum CompanyMarathon Petroleumoil and gasprice-fixing or anti-competitive practices2007$1,000,000
Mansur Capital Corporation investor protection violation2008$75,000
Man Financial Inc. investor protection violation2007$316,900
MakeYourFuture, LLC investor protection violation2017$1,207,294
Maize Capital Management, LLC and Maize Asset Management, LLC investor protection violation2015$6,702,818
Main & Prospect Capital, LLC investor protection violation2022$7,606,395
Madison Dean, Inc. investor protection violation2013$1,400,000
Madigan Enterprises, Inc. et al. investor protection violation2018$3,589,913
Macquarie Futures USA LLCMacquariefinancial servicesinvestor protection violation2013$150,000
M25 Investments, Inc. and M37 Investments, LLC investor protection violation2010$16,200,000
LYFE, S.A. anti-money-laundering deficiencies2023$212,014
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
Lucrative Pips Corporation investor protection violation2019$2,694,799
Longbranch Group International LLC investor protection violation2011$2,000,000
Longboat Global Funds Management investor protection violation2007$10,317,183
London Metals Market LLC investor protection violation2013$121,000
Logista Advisors LLC investor protection violation2017$250,000
Lodge Capital Group, LLC investor protection violation2011$825,000
LMC Asset Management, Inc. investor protection violation2012$140,000
Lloyds Commodities, LLC investor protection violation2014$5,000,000
Lloyds Banking Group plcLloyds Banking Groupfinancial servicesprice-fixing or anti-competitive practices2014$105,000,000
Liquid Capital Management, LLC investor protection violation2011$12,000,000
Lions Wealth Holdings, Lions Wealth Services and 20/20 Precious Metals investor protection violation2015$5,388,730
Linuxor Asset Management LLC investor protection violation2008$200,000
Lincolnshire Trading Partners, LLC investor protection violation2013$140,000
Lighthouse Futures, Ltd. investor protection violation2021$370,000
Liberty Financial Trading Corp., Inc. and Liberty Real Assets Investment Corporation investor protection violation2007$16,403,000
Libero Commodities SA investor protection violation2015$480,000
Lansing Trade Group, LLCAndersons Inc.wholesalersinvestor protection violation2018$3,400,000
Lake Dow Capital LLC investor protection violation2010$4,000,000
Laino Group Limited d/b/a PaxForex investor protection violation2021$374,864
Kraft FoodsKraft Heinzfood productsprice-fixing or anti-competitive practices2019$8,000,000
Korea Exchange, Inc. investor protection violation2019$150,000
Kooima & Kaemingk Commodities, Inc. investor protection violation2018$13,170,857
King Royalty, LLC investor protection violation2023$6,978,837
Kering Capital Ltd. fraud2016$1,200,000
KatchPips FX LLC investor protection violation2021$374,480
K.B. Concepts Group, LLC investor protection violation2017$607,955
Justby International Auctions investor protection violation2023$5,352,843
JSC VTB Bank investor protection violation2016$5,000,000
JPMorgan SecuritiesJPMorgan Chasefinancial servicesdata submission deficiencies2014$650,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesprice-fixing or anti-competitive practices2018$65,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2021$75,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2022$850,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2023$15,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesdata submission deficiencies2015$100,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesprice-fixing or anti-competitive practices2014$310,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesinvestor protection violation2012$600,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesaccounting fraud or deficiencies2012$20,000,000
JPMorgan Chase & CompanyJPMorgan Chasefinancial servicesinvestor protection violation2020$920,200,000
JPMorgan ChaseJPMorgan Chasefinancial servicesdata submission deficiencies2016$225,000
JPMorgan ChaseJPMorgan Chasefinancial servicesinvestor protection violation2013$100,000,000
Joseph Glenn Commodities LLC and JGCF LLC investor protection violation2013$1,000,000
JG Forex Fund investor protection violation2011$1,400,000
Jefferies Financial Services, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2022$30,000,000
Jeff Shalhoub Investments investor protection violation2011$700,000
JBW Capital LLC investor protection violation2014$2,860,000
James A. Shepherd Inc. fraud2016$8,060,810
JadeFX, LTD and Jade Investments Group, LLC investor protection violation2011$2,600,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2012$140,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$900,000
J.P. Morgan Futures, Inc.JPMorgan Chasefinancial servicesdata submission deficiencies2009$300,000
J. Hansen Investments, LLC investor protection violation2013$1,300,000
J Squared LLC investor protection violation2021$198,555
Invers Forex, LLC investor protection violation2012$4,000,000
Intrade The Prediction Market Limited (Intrade) and Trade Exchange Network Limited investor protection violation2018$3,000,000
INTL FCStone Markets, LLCStoneX Groupfinancial servicesinvestor protection violation2015$200,000
INTL FCStone Financial Inc.StoneX Groupfinancial servicesinvestor protection violation2017$280,000
International Monetary Metals, Inc. investor protection violation2016$9,800,000
International Investments Holdings Corp. investor protection violation2006$12,120,000
International Foreign Currency investor protection violation2012$4,600,000
International Financial Services (New York) LLC investor protection violation2004$100,000,000
International Currency Exchange, Inc. investor protection violation2007$1,650,000
Intergrain S.A. investor protection violation2019$175,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2013$225,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2012$700,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2007$175,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesanti-money-laundering deficiencies2020$12,206,214
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2021$84,320,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2022$1,010,828
Interactive Brokers Corp. and Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2023$20,000,000
Inter-Global Currency & Precious Metals investor protection violation2015$547,342
Integra Capital Management, LLC investor protection violation2011$6,900,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.