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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
ACJ Capital, Inc. investor protection violation2012$3,700,000
McCall Business Group, LLC and MBG Global, LLC investor protection violation2010$3,800,000
VOS Capital Management, LLC investor protection violation2020$3,813,875
Direct Investment Products, Inc. investor protection violation2015$3,851,633
Millenium Trading Group, LLC investor protection violation2007$3,861,516
Invers Forex, LLC investor protection violation2012$4,000,000
Raleigh Capital Management, Inc. investor protection violation2011$4,000,000
Diamond Ventures LLC investor protection violation2011$4,000,000
FX Professional International Solutions, Inc. investor protection violation2010$4,000,000
Lake Dow Capital LLC investor protection violation2010$4,000,000
EMF Financial Products, LLC investor protection violation2009$4,000,000
Statoil ASAEquinoroil and gasinvestor protection violation2017$4,000,000
New York Mercantile Exchange (NYMEX) investor protection violation2020$4,000,000
Worldwide Forex, Inc. and Worldwide Commodity Corp. investor protection violation2007$4,200,000
Dominion Resources, Inc.Dominion Energyutilities and power generationdata submission deficiencies2006$4,250,000
Saxon Financial Services Inc. investor protection violation2009$4,300,000
Marbury Advisors Inc. investor protection violation2017$4,441,652
First Capital Savings and Loan investor protection violation2011$4,500,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2020$4,500,000
STA Opus NR LLC fraud2017$4,521,420
Vault Options, Ltd. and Global Trader 365 investor protection violation2016$4,587,371
International Foreign Currency investor protection violation2012$4,600,000
Pan American Metals of Miami and Pan American Metals of Miami Beach investor protection violation2013$4,700,000
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC investor protection violation2016$4,723,246
Falco & Stevens, Inc. investor protection violation2007$4,724,607
Summit Trading & Capital LLC investor protection violation2013$4,800,000
Total Call Group, Inc. investor protection violation2012$4,800,000
FTS Financial, Inc. investor protection violation2017$4,800,000
United Business Servicing fraud2017$4,941,157
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2012$5,000,000
Lloyds Commodities, LLC investor protection violation2014$5,000,000
Q Wealth Management Inc. investor protection violation2013$5,000,000
SNC Asset Management, Inc. and SNC Investments, Inc. investor protection violation2012$5,000,000
Dynegy Marketing & Trade (Dynegy) and West Coast Power LLCVistra Energyutilities and power generationprice-fixing or anti-competitive practices2002$5,000,000
Republic New York Securities CorporationHSBCfinancial servicesinvestor protection violation2001$5,000,000
JSC VTB Bank investor protection violation2016$5,000,000
Rosenthal Collins Capital Markets, LLC investor protection violation2017$5,000,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019$5,000,000
Morgan Stanley Capital Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
The Options Clearing Corporation investor protection violation2023$5,000,000
Harbor Light Asset Management investor protection violation2014$5,200,000
Winell Associates, Inc. and Maxie Partners GP, LLC investor protection violation2011$5,200,000
SwapStar Capital LLC investor protection violation2022$5,255,560
C & R Financial, Inc. investor protection violation2011$5,350,000
Justby International Auctions investor protection violation2023$5,352,843
Lions Wealth Holdings, Lions Wealth Services and 20/20 Precious Metals investor protection violation2015$5,388,730
Elsworth Berg Capital Management LLC, Elsworth Berg Inc., and Elsworth Berg FX LLC investor protection violation2012$5,400,000
CDH Forex Investments, LLC and CDH Global Holdings LLC investor protection violation2012$5,400,000
Zurich Futures and Options, Inc investor protection violation2009$5,429,196
CMA Capital Management, LLC investor protection violation2012$5,500,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2023$5,500,000
AlphaMetrix, LLC investor protection violation2014$5,600,000
Equinox Fund Management LLC investor protection violation2016$5,654,004
New Century Investment Management LLC investor protection violation2014$5,700,000
Queen Shoals Consultants, LLC investor protection violation2014$5,760,000
Alpha Trade Group S.A. investor protection violation2013$5,779,000
Renaissance Asset Management LLC investor protection violation2009$5,800,000
Flint-McClung Capital LLC investor protection violation2012$6,000,000
Vitol Inc. and Vitol Capital Management Ltd.Vitolfinancial servicesinvestor protection violation2010$6,000,000
Digital Platinum Limited investor protection violation2021$6,000,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2022$6,000,000
Cantor FitzgeraldCantor Fitzgeraldfinancial servicesinvestor protection violation2022$6,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023$6,000,000
U.S. Bank, N.A.U.S. Bancorpfinancial servicesinvestor protection violation2024$6,000,000
INH-Interholding SA investor protection violation2008$6,075,841
Berkley Capital Management, LLC et al. investor protection violation2022$6,198,632
Worth Asset Management investor protection violation2014$6,200,000
Billion Coupons, Inc. investor protection violation2010$6,200,000
Coinbase Inc.Coinbase Global Inc.financial servicesinvestor protection violation2021$6,500,000
CX Futures Exchange, L.P. investor protection violation2022$6,500,000
CHS Hedging LLCCHS Inc.agribusinessanti-money-laundering deficiencies2022$6,500,000
Vision Financial Partners, LLC investor protection violation2017$6,527,130
Maize Capital Management, LLC and Maize Asset Management, LLC investor protection violation2015$6,702,818
American Derivatives Corp. (ADC), Brokerage Management Corp., investor protection violation2009$6,750,000
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2023$6,847,182
Integra Capital Management, LLC investor protection violation2011$6,900,000
King Royalty, LLC investor protection violation2023$6,978,837
Goldman Sachs Execution & Clearing LPGoldman Sachsfinancial servicesinvestor protection violation2012$7,000,000
Western Gas Resources, Inc. investor protection violation2004$7,000,000
Forex Capital Markets, LLCJefferies Financial Groupdiversifiedinvestor protection violation2017$7,000,000
TFS-ICAP LLC and TFS-ICAP Ltd. investor protection violation2020$7,000,000
Atlantas Group, Inc. investor protection violation2016$7,200,000
Amaranth Advisors, L.L.C. and Amaranth Advisors (Calgary) ULC price-fixing or anti-competitive practices2009$7,500,000
RFF GP LLC and KGW Capital Management LLC investor protection violation2015$7,515,888
World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc. investor protection violation2004$7,520,580
Main & Prospect Capital, LLC investor protection violation2022$7,606,395
New Golden Investment Group investor protection violation2011$8,000,000
Kraft FoodsKraft Heinzfood productsprice-fixing or anti-competitive practices2019$8,000,000
Mondelez GlobalMondelez Internationalfood productsprice-fixing or anti-competitive practices2019$8,000,000
Bank of America, N.A.Bank of Americafinancial servicesinvestor protection violation2023$8,000,000
James A. Shepherd Inc. fraud2016$8,060,810
Maverick International, Inc. investor protection violation2018$8,605,274
Philadelphia Alternative Asset Management Co. investor protection violation2008$8,800,000
Bluprint LLC investor protection violation2023$8,863,753
First American Investment Services, Inc. investor protection violation2006$8,983,388
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2020$9,000,000
Nawabi Enterprise and Hyperion Consulting Inc. investor protection violation2024$9,000,000
E-Metal Merchants, Inc. investor protection violation2008$9,042,241
Banc de Binary Ltd. investor protection violation2016$9,100,000
Growth Capital Management LLC investor protection violation2012$9,300,000
Wall Street Underground, Inc. investor protection violation2006$9,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.