Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Agency Summary Page

Agency Name: Commodity Futures Trading Commission
Penalty Total since 2000: $18,136,844,099
Number of Records: 776
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount sort icon
ProfitStars Intl, Corp. investor protection violation2012$280,000
ForInvest Group investor protection violation2011$280,000
E*TRADE Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2017$280,000
INTL FCStone Financial Inc.StoneX Groupfinancial servicesinvestor protection violation2017$280,000
Capital Market Services, LLC investor protection violation2014$275,000
FXDirectDealer, LLC investor protection violation2013$275,000
FCStone, LLC and Commodity Operations Inc.StoneX Groupfinancial servicesinvestor protection violation2012$260,000
Alaron Trading Corporation investor protection violation2010$260,000
Guardian Futures, Inc. investor protection violation2010$260,000
Forefront Investment Corporation investor protection violation2008$260,000
Bryant Capital Trade Management Corporation investor protection violation2023$250,655
BlackRock Institutional Trust Company NABlackRockfinancial servicesinvestor protection violation2012$250,000
Tech Power Inc. investor protection violation2016$250,000
Stuckey Group, L.P., Stuckey Group II, L.P. and Oakwood Development Company, L.P. investor protection violation2012$250,000
Open E Cry, LLC investor protection violation2012$250,000
Scotia Capital Inc.Scotiabankfinancial servicesinvestor protection violation2010$250,000
Angus Partners LLC investor protection violation2016$250,000
Logista Advisors LLC investor protection violation2017$250,000
Mintco LLC investor protection violation2017$250,000
Mizuho Bank, Ltd.Mizuho Financialfinancial servicesinvestor protection violation2018$250,000
ADM Investor Services Inc.Archer Daniels Midlandagribusinessinvestor protection violation2019$250,000
Cunningham Commodities, LLC investor protection violation2020$250,000
Marex North America LLC investor protection violation2020$250,000
bZeroX, LLC investor protection violation2022$250,000
Opyn, Inc. investor protection violation2023$250,000
COES FX Clearing, Inc. investor protection violation2006$246,601
Phillips Investment & Trust LLC and Corporate I Communications & Technology Inc. investor protection violation2015$234,500
Myers, Arnold, Davidson, Inc. and Cooper, Thomas, Unger, Inc. fraud2002$229,615
JPMorgan ChaseJPMorgan Chasefinancial servicesdata submission deficiencies2016$225,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2013$225,000
Huafu HK Co. Ltd. investor protection violation2017$225,000
Eagle Market Makers Inc. investor protection violation2012$223,000
Newedge USA, LLC investor protection violation2011$220,000
CTS Financial Publishing, Inc. consumer protection violation2001$220,000
Acceleration Capital, LLC investor protection violation2007$218,000
Bull Run Advantage, LLC investor protection violation2023$215,719
LYFE, S.A. anti-money-laundering deficiencies2023$212,014
Morgan Stanley Capital GroupMorgan Stanleyfinancial servicesinvestor protection violation2014$200,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2012$200,000
UBS SecuritiesUBSfinancial servicesdata submission deficiencies2010$200,000
INTL FCStone Markets, LLCStoneX Groupfinancial servicesinvestor protection violation2015$200,000
Global Futures & Forex, Ltd.StoneX Groupfinancial servicesinvestor protection violation2014$200,000
MB Trading Futures Inc. investor protection violation2013$200,000
ADM Investor Services, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2009$200,000
Linuxor Asset Management LLC investor protection violation2008$200,000
Shell International Trading and Shipping Co.Shell PLCoil and gasinvestor protection violation2006$200,000
Ikon Global Markets Inc. data submission deficiencies2017$200,000
Vision Financial Markets LLC investor protection violation2019$200,000
Asset Risk Management, LLC investor protection violation2022$200,000
ZeroEx, Inc. investor protection violation2023$200,000
York Business Associates LLC d/b/a TransAct Futures investor protection violation2012$199,000
J Squared LLC investor protection violation2021$198,555
Quantum Financial Network, LLC investor protection violation2022$192,894
Velocity Futures, LLC investor protection violation2011$180,000
Dearborn Trading, Inc. investor protection violation2011$180,000
Mizuho Securities USA Inc.Mizuho Financialfinancial servicesdata submission deficiencies2013$175,000
Gage's Fertilizer & Grain, Inc. investor protection violation2010$175,000
Sempra Energy Trading LLCSempra Energyutilities and power generationinvestor protection violation2008$175,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2007$175,000
Intergrain S.A. investor protection violation2019$175,000
Amaggi Exportacao e Importacao Ltda. investor protection violation2021$175,000
Supama International DMCC investor protection violation2008$164,680
First Options of Chicago, Inc. investor protection violation2000$163,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2018$160,000
Elephas Investment Management Ltd. investor protection violation2019$160,000
Agrocorp International Pte Ltd. investor protection violation2016$150,000
Golden Agri International Pte Ltd. investor protection violation2016$150,000
Cunningham Commodities, LLC investor protection violation2016$150,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2015$150,000
Absa Bank, Ltd. investor protection violation2014$150,000
Zulutrade Inc. investor protection violation2014$150,000
FirstRand Bank, Ltd. investor protection violation2014$150,000
Macquarie Futures USA LLCMacquariefinancial servicesinvestor protection violation2013$150,000
Enskilda Futures Ltd. investor protection violation2011$150,000
TRP Advisory Group, Inc. and Traders East, Inc. investor protection violation2010$150,000
Aurifex Commodities Research Company investor protection violation2008$150,000
Trade Exchange Network Limited investor protection violation2005$150,000
CNCGC Hong Kong Ltd data submission deficiencies2017$150,000
Davisco Foods International, Inc.Agropurfood productsinvestor protection violation2017$150,000
W Resources LLC investor protection violation2017$150,000
Tillage Commodities, LLC investor protection violation2017$150,000
X-Change Financial Access LLC investor protection violation2018$150,000
Korea Exchange, Inc. investor protection violation2019$150,000
Plutus Financial, Inc. d/b/a Abra investor protection violation2020$150,000
DARMA, LLC investor protection violation2023$150,000
Challenger Life Company Limited investor protection violation2023$150,000
Edge Financial Technologies, LLC investor protection violation2020$145,200
BNP Paribas SecuritiesBNP Paribasfinancial servicesinvestor protection violation2015$140,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2012$140,000
Otkritie Capital International, Ltd. investor protection violation2016$140,000
Pure Reason LLC investor protection violation2015$140,000
FCStone, LLCStoneX Groupfinancial servicesinvestor protection violation2015$140,000
Summit Energy Services Inc.Schneider Electricelectrical and electronic equipmentinvestor protection violation2015$140,000
Vision Financial Markets LLC investor protection violation2013$140,000
Lincolnshire Trading Partners, LLC investor protection violation2013$140,000
Blue Sky Capital Management Corp. investor protection violation2012$140,000
LMC Asset Management, Inc. investor protection violation2012$140,000
Financial Instruments Ltd. investor protection violation2012$140,000
City Credit Capital, (UK) Ltd. investor protection violation2012$140,000
Windsor Brokers, Ltd. investor protection violation2012$140,000
D.E. Shaw & Co. L.P. investor protection violation2012$140,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.