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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
Mondelez GlobalMondelez Internationalfood productsinvestor protection violation2022$16,000,000
Monex Deposit Company et al. investor protection violation2022$38,000,000
Moore Capital Management, LP investor protection violation2010$25,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2015$300,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2012$5,000,000
Morgan StanleyMorgan Stanleyfinancial servicesdata submission deficiencies2017$350,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2017$500,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2022$75,000,000
Morgan Stanley Capital GroupMorgan Stanleyfinancial servicesinvestor protection violation2014$200,000
Morgan Stanley Capital GroupMorgan Stanleyfinancial servicesdata submission deficiencies2010$14,000,000
Morgan Stanley Capital Group Inc.Morgan Stanleyfinancial servicesinvestor protection violation2019$1,500,000
Morgan Stanley Capital Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014$280,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014$490,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2012$200,000
Multigrain SA and Agricola Xingu SA investor protection violation2014$500,000
MXBK Group S.A. de C.V. and MBFX S.A. investor protection violation2013$57,000,000
My Global Leverage, LLC investor protection violation2016$1,465,528
Myers, Arnold, Davidson, Inc. and Cooper, Thomas, Unger, Inc. fraud2002$229,615
National Equity Holdings, Inc. investor protection violation2013$3,600,000
Natixis investor protection violation2022$2,800,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2018$750,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2019$850,000
Nawabi Enterprise and Hyperion Consulting Inc. investor protection violation2024$9,000,000
Negus Capital Incorporated investor protection violation2021$1,178,180
New Century Investment Management LLC investor protection violation2014$5,700,000
New Golden Investment Group investor protection violation2011$8,000,000
New World Holdings LLC investor protection violation2014$50,000
New York Mercantile Exchange (NYMEX) investor protection violation2020$4,000,000
New York Options Exchange, Tahoe Futures, International Energy Exchange, Vitol Capital Management,New York Petroleum Option Exchange, HPR Commodities, investor protection violation2007$15,524,957
Newbridge Alliance, Inc. and United States Capital Trust, LLC investor protection violation2014$3,381,179
Newbridge Metals, LLC investor protection violation2013$1,500,000
Newedge USA, LLC investor protection violation2012$700,000
Newedge USA, LLC investor protection violation2011$220,000
Newport Private Capital LLC investor protection violation2018$315,000
Nexgen Software Systems, Inc. investor protection violation2006$20,000
Noble Americas Corp.Vitolfinancial servicesinvestor protection violation2010$130,000
Nomura SecuritiesNomurafinancial servicesinvestor protection violation2022$50,000,000
Nord Capital Advisors LLC investor protection violation2015$280,000
North American Asset Management, LLC investor protection violation2017$1,626,189
North Hills Management LLC investor protection violation2015$26,000,000
Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2019$1,000,000
Northstar International Group, Inc. investor protection violation2011$11,000,000
NRG Energy, Inc.NRG Energyutilities and power generationdata submission deficiencies2007$2,000,000
OANDA Corporation investor protection violation2020$500,000
Oasis International Group et al. investor protection violation2023$53,270,336
Oden Capital Management, LLC investor protection violation2017$100,000
Olam International LimitedOlam Groupagribusinessinvestor protection violation2004$20,000
Olam International Ltd. and Olam Americas Inc.Olam Groupagribusinessinvestor protection violation2015$3,000,000
Omega Knight 2, LLC investor protection violation2019$15,257,028
One World Capital Group investor protection violation2010$520,000
ONEOK Inc.Oneokpipelinesdata submission deficiencies2004$3,000,000
Open E Cry, LLC investor protection violation2012$250,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2024$1,000,000
Optiver Holding BV investor protection violation2012$14,000,000
Opyn, Inc. investor protection violation2023$250,000
OTC Europe LLP investor protection violation2020$120,000
Otkritie Capital International, Ltd. investor protection violation2016$140,000
Oxford Capital investor protection violation2014$3,519,309
Palm Beach Capital LLC investor protection violation2014$520,960
Pan American Metals of Miami and Pan American Metals of Miami Beach investor protection violation2013$4,700,000
Panther Energy Trading LLC investor protection violation2013$2,800,000
Paradigm Capital Management LLC data submission deficiencies2008$75,000
Paramount Management, LLC investor protection violation2013$2,400,000
Paramount Metals Exchange and Paramount Credit investor protection violation2015$2,595,946
Parnon Energy Inc., Arcadia Petroleum Ltd., and Arcadia Energy (Suisse) SA investor protection violation2014$13,000,000
PassThrough Investments, LLC investor protection violation2012$1,100,000
Payward Ventures, Inc. d/b/a Kraken investor protection violation2021$1,250,000
Peak Capital Management Group, Inc. investor protection violation2014$1,600,000
Peregrine Financial Group, Inc. investor protection violation2000$90,000
Perfection PR Firm LLC investor protection violation2020$1,296,572
Persistent Edge Management, LLC investor protection violation2008$120,000
PGS Capital Wealth Management of Sherman Oaks, California, PGS Capital Credit, Inc. investor protection violation2014$462,727
Phaetra Capital GP LLC, Phaetra Capital Management LP, and Argenta Group LLC investor protection violation2018$23,117,551
Philadelphia Alternative Asset Management Co. investor protection violation2008$8,800,000
Phillip Capital Inc. privacy violation2019$1,500,000
Phillips Investment & Trust LLC and Corporate I Communications & Technology Inc. investor protection violation2015$234,500
Pinemore, L.P. (Pinemore) and Birchmore, L.P. investor protection violation2010$500,000
Pinnacle Forex Group LLC investor protection violation2014$819,378
Pioneer Futures Inc. data submission deficiencies2007$25,000
Pishon Holding LLC investor protection violation2019$1,259,317
Plutus Financial, Inc. d/b/a Abra investor protection violation2020$150,000
PMC Strategy, LLC investor protection violation2013$1,800,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesinvestor protection violation2019$300,000
Powerline Petroleum, LLC investor protection violation2022$875,000
Premium Income Corp. investor protection violation2007$123,000,000
Pressio Capital Management, LP investor protection violation2010$1,000,000
Prestige Capital Advisors and D2W Capital Management investor protection violation2013$11,700,000
Prestige Ventures Corporation and Federated Management Group, Inc. investor protection violation2010$26,000,000
Prime Agricultural Investors, Inc. investor protection violation2022$563,459
Princeton Global Management Ltd. and Princeton Economics International Ltd. investor protection violation2009$27,000,000
Pro Trading Course, LLC investor protection violation2012$600,000
ProfitStars Intl, Corp. investor protection violation2012$280,000
Progressive Investment Funds LLC investor protection violation2012$700,000
Prosperity Team, LLC investor protection violation2012$2,600,000
Prudential Securities, Inc.Wells Fargofinancial servicesdata submission deficiencies2002$65,000
Pure Reason LLC investor protection violation2015$140,000
Q Wealth Management Inc. investor protection violation2013$5,000,000
Quantum Financial Network, LLC investor protection violation2022$192,894
Queen Shoals Consultants, LLC investor protection violation2014$5,760,000
Queen Shoals, LLC, Queen Shoals II, LLC, and Select Fund, LLC investor protection violation2011$24,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.