FTS Financial, Inc. | | | investor protection violation | 2017 | $4,800,000 |
United Business Servicing | | | fraud | 2017 | $4,941,157 |
STA Opus NR LLC | | | fraud | 2017 | $4,521,420 |
Citigroup | Citigroup | financial services | price-fixing or anti-competitive practices | 2016 | $175,000,000 |
Citibank | Citigroup | financial services | price-fixing or anti-competitive practices | 2016 | $250,000,000 |
JPMorgan Chase | JPMorgan Chase | financial services | data submission deficiencies | 2016 | $225,000 |
Credit Suisse | UBS | financial services | investor protection violation | 2016 | $665,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2016 | $800,000 |
Vault Options, Ltd. and Global Trader 365 | | | investor protection violation | 2016 | $4,587,371 |
Atlantas Group, Inc. | | | investor protection violation | 2016 | $7,200,000 |
Agrocorp International Pte Ltd. | | | investor protection violation | 2016 | $150,000 |
Golden Agri International Pte Ltd. | | | investor protection violation | 2016 | $150,000 |
Tech Power Inc. | | | investor protection violation | 2016 | $250,000 |
Barclays Bank PLC | Barclays | financial services | investor protection violation | 2016 | $560,000 |
DG Wealth Management | | | investor protection violation | 2016 | $17,499,623 |
Emini Experts, LLC and Capital Trading Concepts LLC | | | investor protection violation | 2016 | $2,795,901 |
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc. | | | investor protection violation | 2016 | $2,451,568 |
BFXNA Inc. d/b/a Bitfinex | | | investor protection violation | 2016 | $75,000 |
Cypress Wealth Management, Inc. | | | investor protection violation | 2016 | $430,764 |
Cunningham Commodities, LLC | | | investor protection violation | 2016 | $150,000 |
Galileo Trading LLC | | | investor protection violation | 2016 | $1,608,640 |
Badge Trading LLC | | | investor protection violation | 2016 | $280,000 |
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC | | | investor protection violation | 2016 | $4,723,246 |
Equinox Fund Management LLC | | | investor protection violation | 2016 | $5,654,004 |
IBFX Inc. | | | investor protection violation | 2016 | $1,000,000 |
CHS Inc. | CHS Inc. | agribusiness | investor protection violation | 2016 | $1,000,000 |
Banc de Binary Ltd. | | | investor protection violation | 2016 | $9,100,000 |
4X Solutions Inc. | | | investor protection violation | 2016 | $10,980,904 |
Worth Group Inc. | | | investor protection violation | 2016 | $2,500,000 |
Otkritie Capital International, Ltd. | | | investor protection violation | 2016 | $140,000 |
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. | | | investor protection violation | 2016 | $490,246,741 |
DeBrink Trading Fund I, LLC | | | fraud | 2016 | $910,000 |
International Monetary Metals, Inc. | | | investor protection violation | 2016 | $9,800,000 |
Cindium Inc. and Einstein Exchange Group Inc. | | | investor protection violation | 2016 | $601,000 |
My Global Leverage, LLC | | | investor protection violation | 2016 | $1,465,528 |
James A. Shepherd Inc. | | | fraud | 2016 | $8,060,810 |
JSC VTB Bank | | | investor protection violation | 2016 | $5,000,000 |
RNS Holdings LP | | | data submission deficiencies | 2016 | $389,032 |
Advantage Futures LLC | | | investor protection violation | 2016 | $1,500,000 |
Barclays Bank PLC | Barclays | financial services | data submission deficiencies | 2016 | $500,000 |
Wells Fargo Bank, N.A. | Wells Fargo | financial services | data submission deficiencies | 2016 | $400,000 |
Advanced Trading Workshop, Inc. | | | investor protection violation | 2016 | $940,000 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2016 | $750,000 |
Angus Partners LLC | | | investor protection violation | 2016 | $250,000 |
The Yorkshire Group, Inc. | | | investor protection violation | 2016 | $1,569,801 |
IB Capital FX, LLC | | | investor protection violation | 2016 | $35,420,000 |
Chicago Index Partners, L.P. (CIP) and Wilkinson Financial Opportunity Fund, L.P. | | | fraud | 2016 | $21,800,000 |
Societe Generale | Societe Generale | financial services | data submission deficiencies | 2016 | $450,000 |
Kering Capital Ltd. | | | fraud | 2016 | $1,200,000 |
Convergent Wealth Advisors LLC | | | fraud | 2016 | $800,000 |
3Red Trading LLC | | | fraud | 2016 | $2,500,000 |
Goldman Sachs | Goldman Sachs | financial services | price-fixing or anti-competitive practices | 2016 | $120,000,000 |
JPMorgan Chase Bank | JPMorgan Chase | financial services | data submission deficiencies | 2015 | $100,000,000 |
BNP Paribas Securities | BNP Paribas | financial services | investor protection violation | 2015 | $140,000 |
Deutsche Bank AG | Deutsche Bank | financial services | data submission deficiencies | 2015 | $2,500,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2015 | $300,000 |
Barclays | Barclays | financial services | price-fixing or anti-competitive practices | 2015 | $400,000,000 |
Barclays | Barclays | financial services | price-fixing or anti-competitive practices | 2015 | $115,000,000 |
Deutsche Bank | Deutsche Bank | financial services | price-fixing or anti-competitive practices | 2015 | $800,000,000 |
Total Gas & Power North America, Inc. | TotalEnergies SE | oil and gas | investor protection violation | 2015 | $3,600,000 |
Sharpe Signa, LLC and Haeres Capital, LLC | | | investor protection violation | 2015 | $70,000 |
Sentry Asset Group, LLC d/b/a Sentry Asset Management, LLC | | | investor protection violation | 2015 | $378,767 |
Executive Management Advisors L.L.C. | | | investor protection violation | 2015 | $31,000,000 |
Direct Investment Products, Inc. | | | investor protection violation | 2015 | $3,851,633 |
Alfred C. Toepfer International, Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2015 | $400,000 |
Pure Reason LLC | | | investor protection violation | 2015 | $140,000 |
American Portfolio Asset Management, Inc. | | | investor protection violation | 2015 | $578,474 |
Global Consortiums LLC | | | investor protection violation | 2015 | $589,660 |
Futures International LLC | | | investor protection violation | 2015 | $500,000 |
Nord Capital Advisors LLC | | | investor protection violation | 2015 | $280,000 |
Cargill de Mexico SA De CV | Cargill | agribusiness | investor protection violation | 2015 | $500,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | financial services | investor protection violation | 2015 | $150,000 |
Phillips Investment & Trust LLC and Corporate I Communications & Technology Inc. | | | investor protection violation | 2015 | $234,500 |
Forex Capital Markets, LLC | Jefferies Financial Group | diversified | investor protection violation | 2015 | $843,922 |
INTL FCStone Markets, LLC | StoneX Group | financial services | investor protection violation | 2015 | $200,000 |
Brunswick Capital LLC and Brunswick Capital Partners LP | | | investor protection violation | 2015 | $1,025,039 |
Black Diamond Capital Solutions LLC, Life Plus Group LLC and Black Diamond Holdings LLC | | | investor protection violation | 2015 | $76,000,000 |
Double Eagle Enterprises, LLC | | | investor protection violation | 2015 | $700,000 |
Libero Commodities SA | | | investor protection violation | 2015 | $480,000 |
FCStone, LLC | StoneX Group | financial services | investor protection violation | 2015 | $140,000 |
Inter-Global Currency & Precious Metals | | | investor protection violation | 2015 | $547,342 |
Hope Advisors LLC | | | investor protection violation | 2015 | $100,000 |
RFF GP LLC and KGW Capital Management LLC | | | investor protection violation | 2015 | $7,515,888 |
Marubeni America Corporation | Marubeni | diversified | investor protection violation | 2015 | $800,000 |
ICE Futures U.S. Inc. | IntercontinentalExchange Group | financial services | investor protection violation | 2015 | $3,000,000 |
North Hills Management LLC | | | investor protection violation | 2015 | $26,000,000 |
Maize Capital Management, LLC and Maize Asset Management, LLC | | | investor protection violation | 2015 | $6,702,818 |
Paramount Metals Exchange and Paramount Credit | | | investor protection violation | 2015 | $2,595,946 |
Midwest Metals Exchange | | | investor protection violation | 2015 | $522,852 |
U.S. Bank National Association | U.S. Bancorp | financial services | investor protection violation | 2015 | $18,000,000 |
Gold Coast Bullion Inc. | | | investor protection violation | 2015 | $9,690,124 |
Lions Wealth Holdings, Lions Wealth Services and 20/20 Precious Metals | | | investor protection violation | 2015 | $5,388,730 |
Olam International Ltd. and Olam Americas Inc. | Olam Group | agribusiness | investor protection violation | 2015 | $3,000,000 |
Summit Energy Services Inc. | Schneider Electric | electrical and electronic equipment | investor protection violation | 2015 | $140,000 |
TOTE Fund LLC and MJS Capital Management LLC | | | investor protection violation | 2015 | $871,439 |
Deutsche Bank Securities | Deutsche Bank | financial services | accounting fraud or deficiencies | 2014 | $3,000,000 |
Royal Bank of Canada | Royal Bank of Canada | financial services | investor protection violation | 2014 | $35,000,000 |
Citibank | Citigroup | financial services | price-fixing or anti-competitive practices | 2014 | $310,000,000 |
HSBC Bank | HSBC | financial services | price-fixing or anti-competitive practices | 2014 | $275,000,000 |
JPMorgan Chase Bank | JPMorgan Chase | financial services | price-fixing or anti-competitive practices | 2014 | $310,000,000 |
Royal Bank of Scotland plc | NatWest Group PLC | financial services | price-fixing or anti-competitive practices | 2014 | $290,000,000 |