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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
McVean Trading & Investments, LLC investor protection violation2017$1,500,000
North American Asset Management, LLC investor protection violation2017$1,626,189
K.B. Concepts Group, LLC investor protection violation2017$607,955
W Resources LLC investor protection violation2017$150,000
Ikon Global Markets Inc. data submission deficiencies2017$200,000
Copersucar Trading A.V.V. investor protection violation2017$300,000
Draven, LLC fraud2017$1,487,964
Arab Global Commodities DMCC investor protection violation2017$300,000
Logista Advisors LLC investor protection violation2017$250,000
Tillage Commodities, LLC investor protection violation2017$150,000
Mintco LLC investor protection violation2017$250,000
FTS Financial, Inc. investor protection violation2017$4,800,000
United Business Servicing fraud2017$4,941,157
STA Opus NR LLC fraud2017$4,521,420
Rothlin & Windsor Capital Management, Inc. fraud2002$13,924,051
Matrix Trading Group, Inc. fraud2002$299,129
Myers, Arnold, Davidson, Inc. and Cooper, Thomas, Unger, Inc. fraud2002$229,615
AMP Global Clearing LLC investor protection violation2018$100,000
Williams Advisory Group, LLC investor protection violation2018$19,450,034
Maverick International, Inc. investor protection violation2018$8,605,274
Madigan Enterprises, Inc. et al. investor protection violation2018$3,589,913
Glencore Agriculture B.V., investor protection violation2018$2,000,000
R.J. O'Brien & Associates LLC investor protection violation2018$600,000
Intrade The Prediction Market Limited (Intrade) and Trade Exchange Network Limited investor protection violation2018$3,000,000
Tallinex investor protection violation2018$10,971,279
TradeMasters USA, LLC investor protection violation2018$674,504
All City Investments, LLC investor protection violation2018$670,912
X-Change Financial Access LLC investor protection violation2018$150,000
Cifuentes Fund Management, LLC investor protection violation2018$2,227,120
Algointeractive Inc investor protection violation2018$962,200
Gelfman Blueprint, Inc. investor protection violation2018$2,408,734
Kooima & Kaemingk Commodities, Inc. investor protection violation2018$13,170,857
Geneva Trading USA, LLC investor protection violation2018$1,500,000
Victory Asset investor protection violation2018$1,800,000
Global Asset Advisors LLC d/b/a Daniels Trading investor protection violation2018$300,000
Honouround (HK) International Trade Co. Ltd.? investor protection violation2018$300,000
Mobius Risk Group LLC investor protection violation2018$75,000
1pool Ltd. investor protection violation2019$421,000
Royal Leisure International, Inc. and Gold Chasers, Inc. investor protection violation2019$10,970,756
The Tulving Company, Inc. investor protection violation2019$15,761,432
Pishon Holding LLC investor protection violation2019$1,259,317
Newport Private Capital LLC investor protection violation2018$315,000
Wright Time Capital Group LLC investor protection violation2018$1,485,000
Phaetra Capital GP LLC, Phaetra Capital Management LP, and Argenta Group LLC investor protection violation2018$23,117,551
E-Slate, Inc. investor protection violation2018$11,183,497
Blackbox Pulse, LLC investor protection violation2019$2,712,807
Mark Olsen Mining Company investor protection violation2019$3,631,280
Apuro Holdings Ltd et al. investor protection violation2019$2,243,344
Eagle Market Makers, Inc. investor protection violation2019$350,000
Elephas Investment Management Ltd. investor protection violation2019$160,000
Essex Futures investor protection violation2019$500,000
Korea Exchange, Inc. investor protection violation2019$150,000
Lucrative Pips Corporation investor protection violation2019$2,694,799
The Kane Capital Investment Group, LLC investor protection violation2019$1,232,510
Vision Financial Markets LLC investor protection violation2019$200,000
Zilmil, Inc. investor protection violation2019$22,854,289
Tower Research Capital LLC investor protection violation2019$67,493,849
Silver Star FX, LLC et al. investor protection violation2019$75,000
Blue Bit Banc et al. investor protection violation2019$3,346,405
XBT Corp. SARL d/b/a First Global Credit investor protection violation2019$100,000
Allied Markets, LLC investor protection violation2019$2,400,000
Omega Knight 2, LLC investor protection violation2019$15,257,028
Upstream Energy Services LLC investor protection violation2019$75,000
Treasury Vault, LLC investor protection violation2019$75,000
Fabio Bretas de Freitas and Phy Capital Investments LLC investor protection violation2019$22,986,190
Belvedere Trading LLC investor protection violation2019$1,100,000
Classic Energy LLC investor protection violation2019$1,500,000
Intergrain S.A. investor protection violation2019$175,000
Hard Eight Futures, LLC investor protection violation2019$1,750,000
ARMKAT LLC investor protection violation2019$140,000
Tullett Prebon Americas Inc. investor protection violation2019$13,000,000
Phillip Capital Inc. privacy violation2019$1,500,000
Dinar Corp., Inc. and My Monex, Inc. investor protection violation2020$22,600,000
Catalyst Capital Advisors LLC investor protection violation2020$10,208,481
Mirae Asset Daewoo Co., Ltd. investor protection violation2020$700,000
Gain Capital UK Limited investor protection violation2020$491,671
FuturesFX investor protection violation2020$1,750,000
Amada Capital Management LLC investor protection violation2020$596,700
Edge Financial Technologies, LLC investor protection violation2020$145,200
OANDA Corporation investor protection violation2020$500,000
New York Mercantile Exchange (NYMEX) investor protection violation2020$4,000,000
Southwest Group, LLC investor protection violation2020$75,000
Plutus Financial, Inc. d/b/a Abra investor protection violation2020$150,000
Perfection PR Firm LLC investor protection violation2020$1,296,572
Foremost Trading LLC investor protection violation2020$923,013
Cunningham Commodities, LLC investor protection violation2020$250,000
VOS Capital Management, LLC investor protection violation2020$3,813,875
Venture Capital Investments LLC investor protection violation2020$900,604
Black Diamond Forex LP, BDF Trading LP, and Advanta FX investor protection violation2020$1,200,000
A&A Trading, Inc. investor protection violation2020$495,329
ARB Trading Group LP investor protection violation2020$445,000
FNY Partners Fund LP investor protection violation2020$450,000
Marex North America LLC investor protection violation2020$250,000
Marex Spectron International Limited investor protection violation2020$120,000
EOX Holdings LLC investor protection violation2020$120,000
Futures International LLC investor protection violation2020$120,000
OTC Europe LLP investor protection violation2020$120,000
Sukarne SA de CV investor protection violation2020$35,000
Southwest Services, L.L.C. investor protection violation2020$740,968
TFS-ICAP LLC and TFS-ICAP Ltd. investor protection violation2020$7,000,000
SummerHaven Investment Management LLC investor protection violation2021$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.