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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.

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount sort icon
D.E. Shaw & Co. L.P. investor protection violation2012$140,000
FXOpen Investments Inc. investor protection violation2012$140,000
Tenco, Inc. investor protection violation2011$140,000
Forex Capital Markets Ltd.Jefferies Financial Groupdiversifiedinvestor protection violation2011$140,000
ARMKAT LLC investor protection violation2019$140,000
Stillwater Capital Partners, Inc. and Stillwater Capital Partners, LLC investor protection violation2008$135,000
Financial Investments, Inc. investor protection violation2010$130,000
Noble Americas Corp.Vitolfinancial servicesinvestor protection violation2010$130,000
UBS AGUBSfinancial servicesinvestor protection violation2010$130,000
Heraeus Metals New York LLCHeraeusdiversifiedinvestor protection violation2019$130,000
R.J. O'Brien & Associates LLC investor protection violation2013$125,000
Enskilda Futures Limited investor protection violation2013$125,000
Cadent Financial Services LLC investor protection violation2011$125,000
Wall Street Pirate Management, LLC investor protection violation2017$125,000
London Metals Market LLC investor protection violation2013$121,000
Cadent Financial Services LLC investor protection violation2009$120,000
Persistent Edge Management, LLC investor protection violation2008$120,000
Russell Investments Ireland Limited and Russell Investments Cayman Ltd. data submission deficiencies2007$120,000
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
FX Trading, LLC investor protection violation2011$110,000
Hope Advisors LLC investor protection violation2015$100,000
Tunney & Associates, P.C. investor protection violation2014$100,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2011$100,000
Citigroup Private Bank GP, Inc.Citigroupfinancial servicesdata submission deficiencies2009$100,000
Aaristo Commodities and Futures DMCC investor protection violation2008$100,000
Farmers Cooperative Company investor protection violation2000$100,000
Oden Capital Management, LLC investor protection violation2017$100,000
AMP Global Clearing LLC investor protection violation2018$100,000
XBT Corp. SARL d/b/a First Global Credit investor protection violation2019$100,000
Symphony Communication Services, LLC investor protection violation2021$100,000
Aralia Securities, Ltd. And Vintage Bullion DMC investor protection violation2021$100,000
Deridex, Inc. investor protection violation2023$100,000
BareIt Media LLC investor protection violation2023$100,000
Peregrine Financial Group, Inc. investor protection violation2000$90,000
Credit Lyonnais Rouse LimitedCredit Agricolefinancial servicesinvestor protection violation2005$85,000
Enfinium Pty Ltd investor protection violation2012$80,000
San Diego Gas & Electric CompanySempra Energyutilities and power generationinvestor protection violation2010$80,000
Banque CIAL investor protection violation2007$80,000
BFXNA Inc. d/b/a Bitfinex investor protection violation2016$75,000
Fortis Investment Management USA, Inc. data submission deficiencies2009$75,000
Spring Mountain Capital G.P., LLC data submission deficiencies2009$75,000
Spring Mountain Capital, LP data submission deficiencies2009$75,000
Mansur Capital Corporation investor protection violation2008$75,000
Paradigm Capital Management LLC data submission deficiencies2008$75,000
Carr Futures Inc data submission deficiencies2003$75,000
Mobius Risk Group LLC investor protection violation2018$75,000
Silver Star FX, LLC et al. investor protection violation2019$75,000
Upstream Energy Services LLC investor protection violation2019$75,000
Treasury Vault, LLC investor protection violation2019$75,000
Southwest Group, LLC investor protection violation2020$75,000
Sharpe Signa, LLC and Haeres Capital, LLC investor protection violation2015$70,000
Friedberg Mercantile Group, Inc. investor protection violation2014$70,000
Prudential Securities, Inc.Wells Fargofinancial servicesdata submission deficiencies2002$65,000
New World Holdings LLC investor protection violation2014$50,000
Walsh Trading Inc. investor protection violation2009$50,000
UBS Fund Advisor, LLCUBSfinancial servicesdata submission deficiencies2009$50,000
Hencorp Becstone Futures LC investor protection violation2005$50,000
E Net Speculation Ltd. investor protection violation2004$50,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesdata submission deficiencies2003$45,000
Armajaro Trading Limited investor protection violation2005$35,000
Sukarne SA de CV investor protection violation2020$35,000
BNP Paribas Commodity Futures, Ltd.BNP Paribasfinancial servicesdata submission deficiencies2008$25,000
Pioneer Futures Inc. data submission deficiencies2007$25,000
Rosenthal Collins Group data submission deficiencies2007$25,000
Warenhandelsgesellschaft Corinth, m.b.H. investor protection violation2005$25,000
Credit Lyonnais Rouse LimitedCredit Agricolefinancial servicesinvestor protection violation2004$25,000
Fimat International Banque SA investor protection violation2004$25,000
Refco Overseas Limited investor protection violation2004$25,000
Barry Callebaut Sourcing AGBarry Callebautfood productsinvestor protection violation2004$25,000
Nexgen Software Systems, Inc. investor protection violation2006$20,000
United Energy, Inc. investor protection violation2004$20,000
Olam International LimitedOlam Groupagribusinessinvestor protection violation2004$20,000
Boston Trading Advisors, LLC investor protection violation2003$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.