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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
Integra Capital Management, LLC investor protection violation2011$6,900,000
InovaTrade, Inc. investor protection violation2013$38,000,000
Innovative Capital Management, LLC investor protection violation2008$1,350,000
INH-Interholding SA investor protection violation2008$6,075,841
Infinity Futures LLC investor protection violation2012$340,000
Ikon Global Markets Inc. data submission deficiencies2017$200,000
iGlobal Strategic Management, LLC investor protection violation2012$2,000,000
iFinix Futures, Inc. investor protection violation2013$1,260,000
ICE Futures U.S. Inc.IntercontinentalExchange Groupfinancial servicesinvestor protection violation2015$3,000,000
ICE Clear Europe Limited investor protection violation2021$450,000
ICAP Capital Markets LLCCME Groupfinancial servicesprice-fixing or anti-competitive practices2018$50,000,000
IBFX, Inc. investor protection violation2014$600,000
IBFX Inc. investor protection violation2016$1,000,000
IB Capital FX, LLC investor protection violation2016$35,420,000
Hunter Wise investor protection violation2014$108,000,000
Huafu HK Co. Ltd. investor protection violation2017$225,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2018$1,600,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2019$650,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2023$45,000,000
HSBC Bank PLCHSBCfinancial servicesinvestor protection violation2023$30,000,000
HSBC BankHSBCfinancial servicesprice-fixing or anti-competitive practices2014$275,000,000
Hope Advisors LLC investor protection violation2015$100,000
Honouround (HK) International Trade Co. Ltd.? investor protection violation2018$300,000
Highrise Advantage, LLC. investor protection violation2023$102,234,376
Highland Quantitative Driven Investments LLC investor protection violation2023$476,206
Heraeus Metals New York LLCHeraeusdiversifiedinvestor protection violation2019$130,000
Hencorp Becstone Futures LC investor protection violation2005$50,000
HDR Global Trading Limited et al. investor protection violation2021$50,000,000
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc. investor protection violation2016$2,451,568
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services investor protection violation2006$19,555,041
Hard Eight Futures, LLC investor protection violation2019$1,750,000
Harbor Light Asset Management investor protection violation2014$5,200,000
Guardian Futures, Inc. investor protection violation2010$260,000
Guardian Asset Group, LLC investor protection violation2017$1,086,033
Growth Capital Management LLC investor protection violation2012$9,300,000
Green Knight Investments, LLC investor protection violation2023$675,378
Goldman Sachs Execution & Clearing LPGoldman Sachsfinancial servicesinvestor protection violation2012$7,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2019$1,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$30,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$3,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2023$5,500,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2012$1,500,000
Goldman SachsGoldman Sachsfinancial servicesprice-fixing or anti-competitive practices2016$120,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2022$75,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2023$15,000,000
Goldline, Inc. andA-Mark Precious Metals, Inc. investor protection violation2022$1,077,801
Golden Signals LLC investor protection violation2022$2,613,276
Golden Agri International Pte Ltd. investor protection violation2016$150,000
Gold Distributors, Inc. investor protection violation2014$1,349,066
Gold Coast Bullion Inc. investor protection violation2015$9,690,124
GlobeFX Club, Inc. investor protection violation2012$350,000
Global Strategic Marketing, Inc. investor protection violation2014$2,292,798
Global Precious Metals Trading Company investor protection violation2013$2,200,000
Global Futures & Forex, Ltd.StoneX Groupfinancial servicesinvestor protection violation2014$200,000
Global Consortiums LLC investor protection violation2015$589,660
Global Asset Advisors LLC d/b/a Daniels Trading investor protection violation2018$300,000
Glencore International A.G.Glencorefinancial servicesprice-fixing or anti-competitive practices2022$1,186,000,000
Glencore Agriculture B.V., investor protection violation2018$2,000,000
GID Group, Inc. investor protection violation2013$2,400,000
GFI Securities, LLCBGC Partnersfinancial servicesinvestor protection violation2019$10,000,000
Geneva Trading USA, LLC investor protection violation2018$1,500,000
Gelfman Blueprint, Inc. investor protection violation2018$2,408,734
Gelber Group, LLC investor protection violation2013$750,000
Galileo Trading LLC investor protection violation2016$1,608,640
Galaxy Resources 2000, LLC investor protection violation2008$1,435,470
Gain Capital UK Limited investor protection violation2020$491,671
Gain Capital Group, LLCStoneX Groupfinancial servicesinvestor protection violation2020$300,000
Gage's Fertilizer & Grain, Inc. investor protection violation2010$175,000
FxTrade Financial, LLC investor protection violation2007$3,466,000
FXOpen Investments Inc. investor protection violation2012$140,000
FXDirectDealer, LLC investor protection violation2014$600,000
FXDirectDealer, LLC investor protection violation2013$275,000
FXDirectDealer, LLC investor protection violation2013$2,740,000
FX Trading, LLC investor protection violation2011$110,000
FX Professional International Solutions, Inc. investor protection violation2010$4,000,000
FuturesFX investor protection violation2020$1,750,000
Futures International LLC investor protection violation2015$500,000
Futures International LLC investor protection violation2020$120,000
FTS Financial, Inc. investor protection violation2017$4,800,000
Friedberg Mercantile Group, Inc. investor protection violation2014$70,000
Freepoint Commodities LLC investor protection violation2023$91,000,000
Francis Grant Investments Inc. investor protection violation2011$500,000
Forward Investment Group, LLC investor protection violation2011$46,900,000
Fortis Investment Management USA, Inc. data submission deficiencies2009$75,000
ForInvest Group investor protection violation2011$280,000
Forex Liquidity LLC investor protection violation2012$400,000
Forex Global Solutions Inc. and Forex Global Solutions Ltd. investor protection violation2013$750,000
Forex Capital Trading Group, Forex Capital Trading Partners, and Highland Stone Capital Management investor protection violation2012$1,800,000
Forex Capital Markets, LLCJefferies Financial Groupdiversifiedinvestor protection violation2015$843,922
Forex Capital Markets, LLCJefferies Financial Groupdiversifiedinvestor protection violation2017$7,000,000
Forex Capital Markets Ltd.Jefferies Financial Groupdiversifiedinvestor protection violation2011$140,000
Forex Capital Markets LLCJefferies Financial Groupdiversifiedinvestor protection violation2011$14,200,000
Forex Auto Profits, LLC investor protection violation2011$2,900,000
Foremost Trading LLC investor protection violation2013$400,000
Foremost Trading LLC investor protection violation2020$923,013
Foreign Fund (a/k/a First Bank) investor protection violation2008$2,432,486
Forefront Investment Corporation investor protection violation2008$260,000
FNY Partners Fund LP investor protection violation2020$450,000
Flint-McClung Capital LLC investor protection violation2012$6,000,000
FirstRand Bank, Ltd. investor protection violation2014$150,000
First Options of Chicago, Inc. investor protection violation2000$163,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.