Barclays Bank PLC | Barclays | financial services | data submission deficiencies | 2016 | $500,000 |
Barclays Bank PLC | Barclays | financial services | investor protection violation | 2022 | $75,000,000 |
Barclays | Barclays | financial services | price-fixing or anti-competitive practices | 2015 | $400,000,000 |
Barclays | Barclays | financial services | price-fixing or anti-competitive practices | 2015 | $115,000,000 |
Banque CIAL | | | investor protection violation | 2007 | $80,000 |
Bank of Tokyo-Mitsubishi UFJ, Ltd. | Mitsubishi UFJ Financial Group | financial services | investor protection violation | 2017 | $600,000 |
Bank of Nova Scotia | Scotiabank | financial services | investor protection violation | 2018 | $800,000 |
Bank of Nova Scotia | Scotiabank | financial services | investor protection violation | 2023 | $15,000,000 |
Bank of New York Mellon | Bank of New York Mellon | financial services | investor protection violation | 2019 | $750,000 |
Bank of Montreal | Bank of Montreal | financial services | investor protection violation | 2023 | $35,000,000 |
Bank of America, N.A. | Bank of America | financial services | price-fixing or anti-competitive practices | 2018 | $30,000,000 |
Bank of America, N.A. | Bank of America | financial services | investor protection violation | 2023 | $8,000,000 |
Bank of America | Bank of America | financial services | investor protection violation | 2022 | $100,000,000 |
Banc de Binary Ltd. | | | investor protection violation | 2016 | $9,100,000 |
Badge Trading LLC | | | investor protection violation | 2016 | $280,000 |
Axess Trading Co., Inc. | | | investor protection violation | 2006 | $569,437 |
Axcess Automation LLC and Axcess Fund Management LLC | | | investor protection violation | 2012 | $41,000,000 |
Avista Energy | Avista | utilities and power generation | price-fixing or anti-competitive practices | 2001 | $2,100,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | financial services | investor protection violation | 2015 | $150,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | financial services | investor protection violation | 2012 | $350,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | financial services | investor protection violation | 2024 | $500,000 |
Aurifex Commodities Research Company | | | investor protection violation | 2008 | $150,000 |
Atlantas Group, Inc. | | | investor protection violation | 2016 | $7,200,000 |
Assurance Capital Management, LLC | | | investor protection violation | 2017 | $1,969,165 |
Asset Risk Management, LLC | | | investor protection violation | 2022 | $200,000 |
ARMKAT LLC | | | investor protection violation | 2019 | $140,000 |
Armajaro Trading Limited | | | investor protection violation | 2005 | $35,000 |
Arjent Capital Markets LLC and Chicago Trading Managers LLC | | | investor protection violation | 2013 | $1,800,000 |
Argent Asset Group LLC and First State Depository Company, LLC | | | investor protection violation | 2023 | $145,700,000 |
ARB Trading Group LP | | | investor protection violation | 2020 | $445,000 |
Aralia Securities, Ltd. And Vintage Bullion DMC | | | investor protection violation | 2021 | $100,000 |
Arab Global Commodities DMCC | | | investor protection violation | 2017 | $300,000 |
Aquila Merchant Services | Evergy Inc. | utilities and power generation | price-fixing or anti-competitive practices | 2004 | $26,500,000 |
Apuro Holdings Ltd et al. | | | investor protection violation | 2019 | $2,243,344 |
Angus Partners LLC | | | investor protection violation | 2016 | $250,000 |
Angus Jackson, Inc. | | | investor protection violation | 2013 | $2,800,000 |
AMP Global Clearing LLC | | | investor protection violation | 2018 | $100,000 |
AmeriFirst Management LLC | | | investor protection violation | 2014 | $35,000,000 |
American Portfolio Asset Management, Inc. | | | investor protection violation | 2015 | $578,474 |
American Energy Exchange and York Commodities | | | investor protection violation | 2007 | $3,652,788 |
American Electric Power Company, Inc. and AEP Energy Services, Inc. | American Electric Power | utilities and power generation | data submission deficiencies | 2005 | $30,000,000 |
American Derivatives Corp. (ADC), Brokerage Management Corp., | | | investor protection violation | 2009 | $6,750,000 |
American Bullion Exchange | | | investor protection violation | 2014 | $18,000,000 |
Amaranth Advisors, L.L.C. and Amaranth Advisors (Calgary) ULC | | | price-fixing or anti-competitive practices | 2009 | $7,500,000 |
Amaggi Exportacao e Importacao Ltda. | | | investor protection violation | 2021 | $175,000 |
Amada Capital Management LLC | | | investor protection violation | 2020 | $596,700 |
Altamont Global Partners LLC | | | investor protection violation | 2014 | $15,800,000 |
AlphaMetrix, LLC | | | investor protection violation | 2014 | $5,600,000 |
Alpha Trade Group S.A. | | | investor protection violation | 2013 | $5,779,000 |
Allied Markets, LLC | | | investor protection violation | 2019 | $2,400,000 |
Alliance Development Company | | | investor protection violation | 2008 | $2,200,000 |
Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC | | | investor protection violation | 2012 | $2,500,000 |
Allegheny Gulf Investments, Inc | | | investor protection violation | 2005 | $440,000 |
All City Investments, LLC | | | investor protection violation | 2018 | $670,912 |
Algointeractive Inc | | | investor protection violation | 2018 | $962,200 |
Alfred C. Toepfer International, Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2015 | $400,000 |
Alaron Trading Corporation | | | investor protection violation | 2010 | $260,000 |
Alaron Trading Corporation | | | investor protection violation | 2008 | $299,000 |
AK Equity Group LLC and Xapphire LLC | | | investor protection violation | 2023 | $24,080,325 |
Agrocorp International Pte Ltd. | | | investor protection violation | 2016 | $150,000 |
AG Processing Inc | Ag Processing Inc. | agribusiness | investor protection violation | 2021 | $400,000 |
Advantage Futures LLC | | | investor protection violation | 2016 | $1,500,000 |
Advantage Futures LLC | | | investor protection violation | 2023 | $395,000 |
Advanced Trading Workshop, Inc. | | | investor protection violation | 2016 | $940,000 |
ADM Investor Services, Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2013 | $425,000 |
ADM Investor Services, Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2009 | $200,000 |
ADM Investor Services Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2019 | $250,000 |
ADM Investor Services Inc. | Archer Daniels Midland | agribusiness | investor protection violation | 2022 | $500,000 |
ACJ Capital, Inc. | | | investor protection violation | 2012 | $3,700,000 |
ACJ Capital Inc., and Solid View Capital LLC | | | investor protection violation | 2013 | $1,500,000 |
ACI Capital Group, L.L.C. | | | investor protection violation | 2012 | $850,000 |
Acceleration Capital, LLC | | | investor protection violation | 2007 | $218,000 |
Absa Bank, Ltd. | | | investor protection violation | 2014 | $150,000 |
ABN AMRO Clearing Chicago LLC | ABN AMRO | financial services | investor protection violation | 2013 | $1,000,000 |
ABN AMRO Clearing Chicago LLC | ABN AMRO | financial services | investor protection violation | 2018 | $160,000 |
Aaristo Commodities and Futures DMCC | | | investor protection violation | 2008 | $100,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | data submission deficiencies | 2003 | $45,000 |
A&A Trading, Inc. | | | investor protection violation | 2020 | $495,329 |
4X Solutions Inc. | | | investor protection violation | 2016 | $10,980,904 |
4NExchange | | | investor protection violation | 2008 | $480,000 |
3Red Trading LLC | | | fraud | 2016 | $2,500,000 |
1pool Ltd. | | | investor protection violation | 2019 | $421,000 |