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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
SummerHaven Investment Management LLC investor protection violation2021$500,000
J Squared LLC investor protection violation2021$198,555
The Alista Group, LLC investor protection violation2021$2,242,162
Circle Society, Corp. investor protection violation2021$32,141,375
Negus Capital Incorporated investor protection violation2021$1,178,180
Silver Star FX LLC dba Silver Star Live and Silver Star Live Software LLC investor protection violation2021$23,506,392
HDR Global Trading Limited et al. investor protection violation2021$50,000,000
Laino Group Limited d/b/a PaxForex investor protection violation2021$374,864
Amaggi Exportacao e Importacao Ltda. investor protection violation2021$175,000
Classic Energy LLC investor protection violation2021$585,000
Denari Capital, LLC investor protection violation2021$3,663,282
Digital Platinum Limited investor protection violation2021$6,000,000
United States Commodity Funds LLC investor protection violation2021$2,500,000
Tether Holdings Limited et al. investor protection violation2021$41,000,000
Bitfinex investor protection violation2021$1,500,000
Lighthouse Futures, Ltd. investor protection violation2021$370,000
ICE Clear Europe Limited investor protection violation2021$450,000
Symphony Communication Services, LLC investor protection violation2021$100,000
Payward Ventures, Inc. d/b/a Kraken investor protection violation2021$1,250,000
KatchPips FX LLC investor protection violation2021$374,480
Refinitiv US SEF LLC investor protection violation2021$650,000
Golden Signals LLC investor protection violation2022$2,613,276
Aralia Securities, Ltd. And Vintage Bullion DMC investor protection violation2021$100,000
Easterday Ranches, Inc. investor protection violation2021$263,008,042
Fintech Investment Group Inc. andCompcoin LLC investor protection violation2022$1,800,000
ED&F Man Capital Markets, Ltd. investor protection violation2022$3,250,000
Starberry Limited investor protection violation2022$1,376,206
Berkley Capital Management, LLC et al. investor protection violation2022$6,198,632
Natixis investor protection violation2022$2,800,000
SwapStar Capital LLC investor protection violation2022$5,255,560
Powerline Petroleum, LLC investor protection violation2022$875,000
Financial Tree Trust et al. investor protection violation2022$15,900,000
CTAX Series, LLC investor protection violation2022$2,358,661
Prime Agricultural Investors, Inc. investor protection violation2022$563,459
Main & Prospect Capital, LLC investor protection violation2022$7,606,395
Ztegrity, Inc. investor protection violation2022$943,570
BGC Derivative Markets, L.P. investor protection violation2022$1,900,000
CX Futures Exchange, L.P. investor protection violation2022$6,500,000
tpSEF, Inc. investor protection violation2022$850,000
Quantum Financial Network, LLC investor protection violation2022$192,894
Asset Risk Management, LLC investor protection violation2022$200,000
Tanius Technology, LLC investor protection violation2022$600,000
COFCO Corp. andChinatex Corp., Ltd. investor protection violation2022$720,000
XP Investments US, LLC investor protection violation2022$500,000
bZeroX, LLC investor protection violation2022$250,000
Goldline, Inc. andA-Mark Precious Metals, Inc. investor protection violation2022$1,077,801
Welther Oaks, LLC investor protection violation2022$441,232
Walleye Capital LLC investor protection violation2022$550,000
Monex Deposit Company et al. investor protection violation2022$38,000,000
The Options Clearing Corporation investor protection violation2023$5,000,000
DARMA, LLC investor protection violation2023$150,000
Coquest Inc. et al. investor protection violation2023$2,996,021
BBL Commodities LP investor protection violation2023$400,000
DCAST Capital Investments LLCandFive Traders LLC investor protection violation2023$16,087,440
AK Equity Group LLC and Xapphire LLC investor protection violation2023$24,080,325
SR&B Investment Enterprises, Inc. investor protection violation2023$2,461,877
King Royalty, LLC investor protection violation2023$6,978,837
Bull Run Advantage, LLC investor protection violation2023$215,719
Green Knight Investments, LLC investor protection violation2023$675,378
Argent Asset Group LLC and First State Depository Company, LLC investor protection violation2023$145,700,000
Challenger Life Company Limited investor protection violation2023$150,000
Bryant Capital Trade Management Corporation investor protection violation2023$250,655
Bluprint LLC investor protection violation2023$8,863,753
Deridex, Inc. investor protection violation2023$100,000
Mirror Trading International Proprietary Limited investor protection violation2023$1,700,000,000
Opyn, Inc. investor protection violation2023$250,000
ZeroEx, Inc. investor protection violation2023$200,000
BareIt Media LLC investor protection violation2023$100,000
LYFE, S.A. anti-money-laundering deficiencies2023$212,014
Highland Quantitative Driven Investments LLC investor protection violation2023$476,206
Advantage Futures LLC investor protection violation2023$395,000
Tyche Asset Management LLC et al. investor protection violation2023$21,308,692
Ceres Global Ag Corp. price-fixing or anti-competitive practices2023$3,000,000
Tradewale LLC and Tradewale Managed Fund investor protection violation2023$2,853,810
Oasis International Group et al. investor protection violation2023$53,270,336
Justby International Auctions investor protection violation2023$5,352,843
Highrise Advantage, LLC. investor protection violation2023$102,234,376
Freepoint Commodities LLC investor protection violation2023$91,000,000
Simply Gains, Inc.  investor protection violation2024$830,000
Nawabi Enterprise and Hyperion Consulting Inc. investor protection violation2024$9,000,000
Empires Consulting Corp. investor protection violation2024$64,356,794
Blue Moon Investments Inc. investor protection violation2024$204,622,580
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.