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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
Galaxy Resources 2000, LLC investor protection violation2008$1,435,470
Ecoval Dairy Trade, Inc. investor protection violation2011$1,425,000
Madison Dean, Inc. investor protection violation2013$1,400,000
Midway Trading Company, LLC and Conquest Investment Group, Inc. investor protection violation2012$1,400,000
JG Forex Fund investor protection violation2011$1,400,000
Starberry Limited investor protection violation2022$1,376,206
Innovative Capital Management, LLC investor protection violation2008$1,350,000
Gold Distributors, Inc. investor protection violation2014$1,349,066
Vasquez Global Investments, LLC investor protection violation2014$1,326,224
J. Hansen Investments, LLC investor protection violation2013$1,300,000
Rosenthal Collins Group, L.L.C. investor protection violation2010$1,300,000
Perfection PR Firm LLC investor protection violation2020$1,296,572
iFinix Futures, Inc. investor protection violation2013$1,260,000
Pishon Holding LLC investor protection violation2019$1,259,317
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2020$1,250,000
Payward Ventures, Inc. d/b/a Kraken investor protection violation2021$1,250,000
The Kane Capital Investment Group, LLC investor protection violation2019$1,232,510
MakeYourFuture, LLC investor protection violation2017$1,207,294
Merrill LynchBank of Americafinancial servicesinvestor protection violation2014$1,200,000
CSG Commodity Service Group investor protection violation2012$1,200,000
Kering Capital Ltd. fraud2016$1,200,000
Black Diamond Forex LP, BDF Trading LP, and Advanta FX investor protection violation2020$1,200,000
Negus Capital Incorporated investor protection violation2021$1,178,180
WorldPMX, Inc. investor protection violation2014$1,100,000
PassThrough Investments, LLC investor protection violation2012$1,100,000
Belvedere Trading LLC investor protection violation2019$1,100,000
Guardian Asset Group, LLC investor protection violation2017$1,086,033
Goldline, Inc. andA-Mark Precious Metals, Inc. investor protection violation2022$1,077,801
Brunswick Capital LLC and Brunswick Capital Partners LP investor protection violation2015$1,025,039
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2022$1,010,828
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2013$1,000,000
IBFX Inc. investor protection violation2016$1,000,000
CHS Inc.CHS Inc.agribusinessinvestor protection violation2016$1,000,000
Joseph Glenn Commodities LLC and JGCF LLC investor protection violation2013$1,000,000
Virtual Vision Inc. investor protection violation2012$1,000,000
Pressio Capital Management, LP investor protection violation2010$1,000,000
Marathon Petroleum CompanyMarathon Petroleumoil and gasprice-fixing or anti-competitive practices2007$1,000,000
Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2019$1,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2019$1,000,000
Citibank, N.A.Citigroupfinancial servicesinvestor protection violation2021$1,000,000
SMP Bank and Epaster Investments, Ltd. investor protection violation2012$980,000
Algointeractive Inc investor protection violation2018$962,200
Ztegrity, Inc. investor protection violation2022$943,570
Advanced Trading Workshop, Inc. investor protection violation2016$940,000
Foremost Trading LLC investor protection violation2020$923,013
DeBrink Trading Fund I, LLC fraud2016$910,000
Venture Capital Investments LLC investor protection violation2020$900,604
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$900,000
Powerline Petroleum, LLC investor protection violation2022$875,000
TOTE Fund LLC and MJS Capital Management LLC investor protection violation2015$871,439
Thirteen Thirty-Two, Inc. investor protection violation2010$860,000
ACI Capital Group, L.L.C. investor protection violation2012$850,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2019$850,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2022$850,000
tpSEF, Inc. investor protection violation2022$850,000
Forex Capital Markets, LLCJefferies Financial Groupdiversifiedinvestor protection violation2015$843,922
System Capital, LLC investor protection violation2013$840,000
Simply Gains, Inc.  investor protection violation2024$830,000
Lodge Capital Group, LLC investor protection violation2011$825,000
Pinnacle Forex Group LLC investor protection violation2014$819,378
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$800,000
Marubeni America CorporationMarubenidiversifiedinvestor protection violation2015$800,000
Concord Energy, LLC price-fixing or anti-competitive practices2007$800,000
Convergent Wealth Advisors LLC fraud2016$800,000
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2018$800,000
Forex Global Solutions Inc. and Forex Global Solutions Ltd. investor protection violation2013$750,000
Gelber Group, LLC investor protection violation2013$750,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2016$750,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2018$750,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2019$750,000
Cargill Inc.Cargillagribusinessinvestor protection violation2021$750,000
Southwest Services, L.L.C. investor protection violation2020$740,968
Triland USA Inc. investor protection violation2010$725,000
COFCO Corp. andChinatex Corp., Ltd. investor protection violation2022$720,000
Double Eagle Enterprises, LLC investor protection violation2015$700,000
Cantor FitzgeraldCantor Fitzgeraldfinancial servicesinvestor protection violation2012$700,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2012$700,000
Progressive Investment Funds LLC investor protection violation2012$700,000
Newedge USA, LLC investor protection violation2012$700,000
Jeff Shalhoub Investments investor protection violation2011$700,000
Mirae Asset Daewoo Co., Ltd. investor protection violation2020$700,000
Green Knight Investments, LLC investor protection violation2023$675,378
TradeMasters USA, LLC investor protection violation2018$674,504
All City Investments, LLC investor protection violation2018$670,912
Credit SuisseUBSfinancial servicesinvestor protection violation2016$665,000
JPMorgan SecuritiesJPMorgan Chasefinancial servicesdata submission deficiencies2014$650,000
MBF Clearing Corp. investor protection violation2012$650,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2019$650,000
Refinitiv US SEF LLC investor protection violation2021$650,000
StoneX Markets LLCStoneX Groupfinancial servicesinvestor protection violation2023$650,000
K.B. Concepts Group, LLC investor protection violation2017$607,955
Cindium Inc. and Einstein Exchange Group Inc. investor protection violation2016$601,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesinvestor protection violation2012$600,000
IBFX, Inc. investor protection violation2014$600,000
FXDirectDealer, LLC investor protection violation2014$600,000
The Borrowing Station, LLC investor protection violation2013$600,000
EagleEye Asset Management investor protection violation2013$600,000
Pro Trading Course, LLC investor protection violation2012$600,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupfinancial servicesinvestor protection violation2017$600,000
R.J. O'Brien & Associates LLC investor protection violation2018$600,000
Tanius Technology, LLC investor protection violation2022$600,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.