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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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CompanyCurrent Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
PassThrough Investments, LLC investor protection violation2012$1,100,000
Forex Liquidity LLC investor protection violation2012$400,000
Optiver Holding BV investor protection violation2012$14,000,000
Flint-McClung Capital LLC investor protection violation2012$6,000,000
Safeguard 3030 Investment Club investor protection violation2012$3,000,000
Rosenthal Collins Group, LLC investor protection violation2012$2,500,000
Total Call Group, Inc. investor protection violation2012$4,800,000
ACJ Capital, Inc. investor protection violation2012$3,700,000
City Credit Capital, (UK) Ltd. investor protection violation2012$140,000
Windsor Brokers, Ltd. investor protection violation2012$140,000
Enfinium Pty Ltd investor protection violation2012$80,000
Virtual Vision Inc. investor protection violation2012$1,000,000
D.E. Shaw & Co. L.P. investor protection violation2012$140,000
Centurion Global Capital Management LLC investor protection violation2012$360,000
Newedge USA, LLC investor protection violation2012$700,000
FXOpen Investments Inc. investor protection violation2012$140,000
JG Forex Fund investor protection violation2011$1,400,000
Midwest Land & Livestock, Inc., SKV Farms Inc. and DCV Farms, Inc. investor protection violation2011$382,000
Enskilda Futures Ltd. investor protection violation2011$150,000
JadeFX, LTD and Jade Investments Group, LLC investor protection violation2011$2,600,000
Francis Grant Investments Inc. investor protection violation2011$500,000
Velocity Futures, LLC investor protection violation2011$180,000
Cyber Market Group LLC investor protection violation2011$500,000
First Capital Savings and Loan investor protection violation2011$4,500,000
Queen Shoals, LLC, Queen Shoals II, LLC, and Select Fund, LLC investor protection violation2011$24,000,000
Integra Capital Management, LLC investor protection violation2011$6,900,000
Barki LLC investor protection violation2011$40,904,000
CRW Management LP investor protection violation2011$19,000,000
Tenco, Inc. investor protection violation2011$140,000
Dearborn Trading, Inc. investor protection violation2011$180,000
New Golden Investment Group investor protection violation2011$8,000,000
Lodge Capital Group, LLC investor protection violation2011$825,000
Longbranch Group International LLC investor protection violation2011$2,000,000
Ecoval Dairy Trade, Inc. investor protection violation2011$1,425,000
ForInvest Group investor protection violation2011$280,000
Capital Blu Management, LLC investor protection violation2011$17,000,000
Raleigh Capital Management, Inc. investor protection violation2011$4,000,000
Cadent Financial Services LLC investor protection violation2011$125,000
FX Trading, LLC investor protection violation2011$110,000
Winell Associates, Inc. and Maxie Partners GP, LLC investor protection violation2011$5,200,000
Liquid Capital Management, LLC investor protection violation2011$12,000,000
C & R Financial, Inc. investor protection violation2011$5,350,000
Brookshire Raw Materials Management, LLC investor protection violation2011$15,800,000
Yellowstone Partners, Inc. investor protection violation2011$1,600,000
Centurion Asset Management, Inc. investor protection violation2011$49,700,000
Forward Investment Group, LLC investor protection violation2011$46,900,000
Jeff Shalhoub Investments investor protection violation2011$700,000
Newedge USA, LLC investor protection violation2011$220,000
Northstar International Group, Inc. investor protection violation2011$11,000,000
Crossfire Trading, LLC investor protection violation2011$84,000,000
Daniels Trading Group LLC investor protection violation2011$2,000,000
Diamond Ventures LLC investor protection violation2011$4,000,000
Forex Auto Profits, LLC investor protection violation2011$2,900,000
Thirteen Thirty-Two, Inc. investor protection violation2010$860,000
Strongbow Investments GP, LLC investor protection violation2010$2,800,000
FX Professional International Solutions, Inc. investor protection violation2010$4,000,000
Prestige Ventures Corporation and Federated Management Group, Inc. investor protection violation2010$26,000,000
CRE Capital Corp. investor protection violation2010$25,700,000
M25 Investments, Inc. and M37 Investments, LLC investor protection violation2010$16,200,000
Trigon Group LLC investor protection violation2010$41,200,000
Rosenthal Collins Group, L.L.C. investor protection violation2010$1,300,000
Triland USA Inc. investor protection violation2010$725,000
Alaron Trading Corporation investor protection violation2010$260,000
Billion Coupons, Inc. investor protection violation2010$6,200,000
TRP Advisory Group, Inc. and Traders East, Inc. investor protection violation2010$150,000
Financial Investments, Inc. investor protection violation2010$130,000
Gage's Fertilizer & Grain, Inc. investor protection violation2010$175,000
McCall Business Group, LLC and MBG Global, LLC investor protection violation2010$3,800,000
Moore Capital Management, LP investor protection violation2010$25,000,000
Lake Dow Capital LLC investor protection violation2010$4,000,000
Guardian Futures, Inc. investor protection violation2010$260,000
First Capitol Futures Group investor protection violation2010$20,300,000
One World Capital Group investor protection violation2010$520,000
Pressio Capital Management, LP investor protection violation2010$1,000,000
Pinemore, L.P. (Pinemore) and Birchmore, L.P. investor protection violation2010$500,000
Zurich Futures and Options, Inc investor protection violation2009$5,429,196
MF Global Inc. investor protection violation2009$10,000,000
American Derivatives Corp. (ADC), Brokerage Management Corp., investor protection violation2009$6,750,000
EMF Financial Products, LLC investor protection violation2009$4,000,000
Cadent Financial Services LLC investor protection violation2009$120,000
Saxon Financial Services Inc. investor protection violation2009$4,300,000
Princeton Global Management Ltd. and Princeton Economics International Ltd. investor protection violation2009$27,000,000
Amaranth Advisors, L.L.C. and Amaranth Advisors (Calgary) ULC price-fixing or anti-competitive practices2009$7,500,000
Safevest LLC investor protection violation2009$25,000,000
Cocoon Trade, Inc investor protection violation2009$1,542,787
Walsh Trading Inc. investor protection violation2009$50,000
Renaissance Asset Management LLC investor protection violation2009$5,800,000
Fortis Investment Management USA, Inc. data submission deficiencies2009$75,000
Spring Mountain Capital G.P., LLC data submission deficiencies2009$75,000
Spring Mountain Capital, LP data submission deficiencies2009$75,000
INH-Interholding SA investor protection violation2008$6,075,841
Innovative Capital Management, LLC investor protection violation2008$1,350,000
Linuxor Asset Management LLC investor protection violation2008$200,000
Alliance Development Company investor protection violation2008$2,200,000
The Liberty Mutual Group, Inc., Addison Financial Group, Inc., Addison Management Group, Inc., Hamlin Mercer Group, Inc., and Colfax Management Group, investor protection violation2008$12,000,000
Aurifex Commodities Research Company investor protection violation2008$150,000
4NExchange investor protection violation2008$480,000
Mansur Capital Corporation investor protection violation2008$75,000
Persistent Edge Management, LLC investor protection violation2008$120,000
Stillwater Capital Partners, Inc. and Stillwater Capital Partners, LLC investor protection violation2008$135,000
Foreign Fund (a/k/a First Bank) investor protection violation2008$2,432,486
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.