Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense Type sort iconYearPenalty Amount
BareIt Media LLC investor protection violation2023$100,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2023$5,500,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$30,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2023$15,000,000
Bank of America, N.A.Bank of Americafinancial servicesinvestor protection violation2023$8,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$3,000,000
Interactive Brokers Corp. and Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2023$20,000,000
Highland Quantitative Driven Investments LLC investor protection violation2023$476,206
Advantage Futures LLC investor protection violation2023$395,000
StoneX Markets LLCStoneX Groupfinancial servicesinvestor protection violation2023$650,000
Binance Holdings Limited et al.Binance Holdingsfinancial servicesinvestor protection violation2023(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000
Tyche Asset Management LLC et al. investor protection violation2023$21,308,692
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
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2024$500,000
U.S. Bank, N.A.U.S. Bancorpfinancial servicesinvestor protection violation2024$6,000,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2024$1,000,000
Empires Consulting Corp. investor protection violation2024$64,356,794
Blue Moon Investments Inc. investor protection violation2024$204,622,580
DeBrink Trading Fund I, LLC fraud2016$910,000
James A. Shepherd Inc. fraud2016$8,060,810
Chicago Index Partners, L.P. (CIP) and Wilkinson Financial Opportunity Fund, L.P. fraud2016$21,800,000
Kering Capital Ltd. fraud2016$1,200,000
Convergent Wealth Advisors LLC fraud2016$800,000
3Red Trading LLC fraud2016$2,500,000
EJS Capital Management fraud2017$11,600,000
Draven, LLC fraud2017$1,487,964
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
Vitol Inc.Vitolfinancial servicesfraud2020(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
JPMorgan ChaseJPMorgan Chasefinancial servicesdata submission deficiencies2016$225,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesdata submission deficiencies2015$100,000,000
Deutsche Bank AGDeutsche Bankfinancial servicesdata submission deficiencies2015$2,500,000
JPMorgan SecuritiesJPMorgan Chasefinancial servicesdata submission deficiencies2014$650,000
Mizuho Securities USA Inc.Mizuho Financialfinancial servicesdata submission deficiencies2013$175,000
Morgan Stanley Capital GroupMorgan Stanleyfinancial servicesdata submission deficiencies2010$14,000,000
UBS SecuritiesUBSfinancial servicesdata submission deficiencies2010$200,000
Citigroup Private Bank GP, Inc.Citigroupfinancial servicesdata submission deficiencies2009$100,000
J.P. Morgan Futures, Inc.JPMorgan Chasefinancial servicesdata submission deficiencies2009$300,000
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
UBS Fund Advisor, LLCUBSfinancial servicesdata submission deficiencies2009$50,000
BNP Paribas Commodity Futures, Ltd.BNP Paribasfinancial servicesdata submission deficiencies2008$25,000
Paradigm Capital Management LLC data submission deficiencies2008$75,000
Russell Investments Ireland Limited and Russell Investments Cayman Ltd. data submission deficiencies2007$120,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americafinancial servicesdata submission deficiencies2007$500,000
Pioneer Futures Inc. data submission deficiencies2007$25,000
NRG Energy, Inc.NRG Energyutilities and power generationdata submission deficiencies2007$2,000,000
Rosenthal Collins Group data submission deficiencies2007$25,000
Dominion Resources, Inc.Dominion Energyutilities and power generationdata submission deficiencies2006$4,250,000
American Electric Power Company, Inc. and AEP Energy Services, Inc.American Electric Powerutilities and power generationdata submission deficiencies2005$30,000,000
Cinergy Marketing & Trading, LPBNP Paribasfinancial servicesdata submission deficiencies2004$3,000,000
Coral Energy Resources, L.P. data submission deficiencies2004$30,000,000
Entergy Koch Trading, L.P.Entergyutilities and power generationdata submission deficiencies2004$3,000,000
ONEOK Inc.Oneokpipelinesdata submission deficiencies2004$3,000,000
The Williams Companies, Inc.Williams Companiesoil and gasdata submission deficiencies2003$20,000,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesdata submission deficiencies2003$45,000
Carr Futures Inc data submission deficiencies2003$75,000
Prudential Securities, Inc.Wells Fargofinancial servicesdata submission deficiencies2002$65,000
RNS Holdings LP data submission deficiencies2016$389,032
Barclays Bank PLCBarclaysfinancial servicesdata submission deficiencies2016$500,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesdata submission deficiencies2016$400,000
Societe GeneraleSociete Generalefinancial servicesdata submission deficiencies2016$450,000
CNCGC Hong Kong Ltd data submission deficiencies2017$150,000
Ikon Global Markets Inc. data submission deficiencies2017$200,000
Morgan StanleyMorgan Stanleyfinancial servicesdata submission deficiencies2017$350,000
Citibank N.A.Citigroupfinancial servicesdata submission deficiencies2017$550,000
CTS Financial Publishing, Inc. consumer protection violation2001$220,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesanti-money-laundering deficiencies2020$12,206,214
CHS Hedging LLCCHS Inc.agribusinessanti-money-laundering deficiencies2022$6,500,000
LYFE, S.A. anti-money-laundering deficiencies2023$212,014
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesaccounting fraud or deficiencies2014$3,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesaccounting fraud or deficiencies2012$20,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.