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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 ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount sort icon
The Yorkshire Group, Inc. investor protection violation2016$1,569,801
Peak Capital Management Group, Inc. investor protection violation2014$1,600,000
Yellowstone Partners, Inc. investor protection violation2011$1,600,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2018$1,600,000
Galileo Trading LLC investor protection violation2016$1,608,640
North American Asset Management, LLC investor protection violation2017$1,626,189
International Currency Exchange, Inc. investor protection violation2007$1,650,000
Hard Eight Futures, LLC investor protection violation2019$1,750,000
FuturesFX investor protection violation2020$1,750,000
Arjent Capital Markets LLC and Chicago Trading Managers LLC investor protection violation2013$1,800,000
PMC Strategy, LLC investor protection violation2013$1,800,000
Forex Capital Trading Group, Forex Capital Trading Partners, and Highland Stone Capital Management investor protection violation2012$1,800,000
Victory Asset investor protection violation2018$1,800,000
Fintech Investment Group Inc. andCompcoin LLC investor protection violation2022$1,800,000
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
BGC Derivative Markets, L.P. investor protection violation2022$1,900,000
Assurance Capital Management, LLC investor protection violation2017$1,969,165
iGlobal Strategic Management, LLC investor protection violation2012$2,000,000
Longbranch Group International LLC investor protection violation2011$2,000,000
Daniels Trading Group LLC investor protection violation2011$2,000,000
MF Global Inc. investor protection violation2007$2,000,000
NRG Energy, Inc.NRG Energyutilities and power generationdata submission deficiencies2007$2,000,000
Glencore Agriculture B.V., investor protection violation2018$2,000,000
Avista EnergyAvistautilities and power generationprice-fixing or anti-competitive practices2001$2,100,000
Global Precious Metals Trading Company investor protection violation2013$2,200,000
Alliance Development Company investor protection violation2008$2,200,000
Cifuentes Fund Management, LLC investor protection violation2018$2,227,120
The Alista Group, LLC investor protection violation2021$2,242,162
Apuro Holdings Ltd et al. investor protection violation2019$2,243,344
Global Strategic Marketing, Inc. investor protection violation2014$2,292,798
CTAX Series, LLC investor protection violation2022$2,358,661
Paramount Management, LLC investor protection violation2013$2,400,000
GID Group, Inc. investor protection violation2013$2,400,000
Allied Markets, LLC investor protection violation2019$2,400,000
Gelfman Blueprint, Inc. investor protection violation2018$2,408,734
Foreign Fund (a/k/a First Bank) investor protection violation2008$2,432,486
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc. investor protection violation2016$2,451,568
SR&B Investment Enterprises, Inc. investor protection violation2023$2,461,877
First Lexington Group investor protection violation2008$2,466,063
Financial Robotics, Inc. investor protection violation2014$2,481,000
Deutsche Bank AGDeutsche Bankfinancial servicesdata submission deficiencies2015$2,500,000
Worth Group Inc. investor protection violation2016$2,500,000
Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC investor protection violation2012$2,500,000
Rosenthal Collins Group, LLC investor protection violation2012$2,500,000
3Red Trading LLC fraud2016$2,500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2017$2,500,000
Societe Generale International LimitedSociete Generalefinancial servicesinvestor protection violation2019$2,500,000
United States Commodity Funds LLC investor protection violation2021$2,500,000
Champion Management International, LLC investor protection violation2014$2,544,722
Paramount Metals Exchange and Paramount Credit investor protection violation2015$2,595,946
TC Credit Service d/b/a Del-Mair Group investor protection violation2012$2,600,000
Crabapple Capital Group LLC investor protection violation2012$2,600,000
Prosperity Team, LLC investor protection violation2012$2,600,000
JadeFX, LTD and Jade Investments Group, LLC investor protection violation2011$2,600,000
Golden Signals LLC investor protection violation2022$2,613,276
Lucrative Pips Corporation investor protection violation2019$2,694,799
Bentley Equities, LLC investor protection violation2013$2,700,000
Blackbox Pulse, LLC investor protection violation2019$2,712,807
FXDirectDealer, LLC investor protection violation2013$2,740,000
Emini Experts, LLC and Capital Trading Concepts LLC investor protection violation2016$2,795,901
Panther Energy Trading LLC investor protection violation2013$2,800,000
Angus Jackson, Inc. investor protection violation2013$2,800,000
Strongbow Investments GP, LLC investor protection violation2010$2,800,000
Natixis investor protection violation2022$2,800,000
Tradewale LLC and Tradewale Managed Fund investor protection violation2023$2,853,810
JBW Capital LLC investor protection violation2014$2,860,000
Rusfeldt Investments LLP investor protection violation2008$2,889,071
Forex Auto Profits, LLC investor protection violation2011$2,900,000
Coquest Inc. et al. investor protection violation2023$2,996,021
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesaccounting fraud or deficiencies2014$3,000,000
ICE Futures U.S. Inc.IntercontinentalExchange Groupfinancial servicesinvestor protection violation2015$3,000,000
Olam International Ltd. and Olam Americas Inc.Olam Groupagribusinessinvestor protection violation2015$3,000,000
Demuzio Capital Management, LLC investor protection violation2012$3,000,000
Safeguard 3030 Investment Club investor protection violation2012$3,000,000
Cinergy Marketing & Trading, LPBNP Paribasfinancial servicesdata submission deficiencies2004$3,000,000
Entergy Koch Trading, L.P.Entergyutilities and power generationdata submission deficiencies2004$3,000,000
ONEOK Inc.Oneokpipelinesdata submission deficiencies2004$3,000,000
Enserco Energy, Inc. price-fixing or anti-competitive practices2003$3,000,000
Intrade The Prediction Market Limited (Intrade) and Trade Exchange Network Limited investor protection violation2018$3,000,000
BGC Financial, L.P.BGC Partnersfinancial servicesinvestor protection violation2019$3,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$3,000,000
Ceres Global Ag Corp. price-fixing or anti-competitive practices2023$3,000,000
Vertical Integration Group LLC investor protection violation2014$3,120,688
VFRS LLC investor protection violation2013$3,200,000
ED&F Man Capital Markets, Ltd. investor protection violation2022$3,250,000
Blue Bit Banc et al. investor protection violation2019$3,346,405
Newbridge Alliance, Inc. and United States Capital Trust, LLC investor protection violation2014$3,381,179
Lansing Trade Group, LLCAndersons Inc.wholesalersinvestor protection violation2018$3,400,000
Emerald Worldwide Holdings, Inc. investor protection violation2006$3,433,721
FxTrade Financial, LLC investor protection violation2007$3,466,000
Capstone FX Quantitative Analysis, Inc. and Beekeepers Fund Capital Management, LLC investor protection violation2013$3,500,000
Oxford Capital investor protection violation2014$3,519,309
SK Madison Commodities, LLC investor protection violation2014$3,523,846
Madigan Enterprises, Inc. et al. investor protection violation2018$3,589,913
Total Gas & Power North America, Inc.TotalEnergies SEoil and gasinvestor protection violation2015$3,600,000
National Equity Holdings, Inc. investor protection violation2013$3,600,000
Mark Olsen Mining Company investor protection violation2019$3,631,280
American Energy Exchange and York Commodities investor protection violation2007$3,652,788
Denari Capital, LLC investor protection violation2021$3,663,282
Worldwide Clearing, LLC investor protection violation2007$3,692,516
ACJ Capital, Inc. investor protection violation2012$3,700,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.