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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $287,268,054,805
Number of Penalty Records: 11,008
Note: The totals here are adjusted to account for the fact that each current parent's entries 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. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$41,332,842,096155
UBS$27,709,494,893134
JPMorgan Chase$27,007,359,167119
Citigroup$19,742,743,935103
Deutsche Bank$15,634,467,27866
Goldman Sachs$13,126,412,84157
NatWest Group PLC$12,235,546,85725
Wells Fargo$10,735,220,989127
Morgan Stanley$9,877,862,956163
BNP Paribas$9,164,773,00010

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 TypeYearAgency sort iconPenalty Amount
ARB Trading Group LP investor protection violation2020CFTC$445,000
JPMorgan Chase & CompanyJPMorgan Chasefinancial servicesinvestor protection violation2020CFTC$920,200,000
FNY Partners Fund LP investor protection violation2020CFTC$450,000
Marex North America LLC investor protection violation2020CFTC$250,000
Marex Spectron International Limited investor protection violation2020CFTC$120,000
EOX Holdings LLC investor protection violation2020CFTC$120,000
Futures International LLC investor protection violation2020CFTC$120,000
OTC Europe LLP investor protection violation2020CFTC$120,000
Sukarne SA de CV investor protection violation2020CFTC$35,000
AG Processing IncAg Processing Inc.agribusinessinvestor protection violation2021CFTC$400,000
Southwest Services, L.L.C. investor protection violation2020CFTC$740,968
TFS-ICAP LLC and TFS-ICAP Ltd. investor protection violation2020CFTC$7,000,000
SummerHaven Investment Management LLC investor protection violation2021CFTC$500,000
J Squared LLC investor protection violation2021CFTC$198,555
The Alista Group, LLC investor protection violation2021CFTC$2,242,162
Circle Society, Corp. investor protection violation2021CFTC$32,141,375
Negus Capital Incorporated investor protection violation2021CFTC$1,178,180
Coinbase Inc.Coinbase Global Inc.financial servicesinvestor protection violation2021CFTC$6,500,000
Silver Star FX LLC dba Silver Star Live and Silver Star Live Software LLC investor protection violation2021CFTC$23,506,392
Tyson Foods, Inc.Tyson Foodsfood productsinvestor protection violation2021CFTC$1,500,000
HDR Global Trading Limited et al. investor protection violation2021CFTC$50,000,000
Laino Group Limited d/b/a PaxForex investor protection violation2021CFTC$374,864
Credit SuisseUBSfinancial servicesinvestor protection violation2021CFTC$1,500,000
Amaggi Exportacao e Importacao Ltda. investor protection violation2021CFTC$175,000
Classic Energy LLC investor protection violation2021CFTC$585,000
Denari Capital, LLC investor protection violation2021CFTC$3,663,282
Digital Platinum Limited investor protection violation2021CFTC$6,000,000
United States Commodity Funds LLC investor protection violation2021CFTC$2,500,000
Tether Holdings Limited et al. investor protection violation2021CFTC$41,000,000
Bitfinex investor protection violation2021CFTC$1,500,000
UBS AGUBSfinancial servicesinvestor protection violation2021CFTC$500,000
Lighthouse Futures, Ltd. investor protection violation2021CFTC$370,000
ICE Clear Europe Limited investor protection violation2021CFTC$450,000
Societe Generale S.A.Societe Generalefinancial servicesinvestor protection violation2021CFTC$1,500,000
Symphony Communication Services, LLC investor protection violation2021CFTC$100,000
Payward Ventures, Inc. d/b/a Kraken investor protection violation2021CFTC$1,250,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2021CFTC$84,320,000
KatchPips FX LLC investor protection violation2021CFTC$374,480
Refinitiv US SEF LLC investor protection violation2021CFTC$650,000
Golden Signals LLC investor protection violation2022CFTC$2,613,276
Aralia Securities, Ltd. And Vintage Bullion DMC investor protection violation2021CFTC$100,000
Easterday Ranches, Inc. investor protection violation2021CFTC$263,008,042
Mondelez GlobalMondelez Internationalfood productsinvestor protection violation2022CFTC$16,000,000
Fintech Investment Group Inc. andCompcoin LLC investor protection violation2022CFTC$1,800,000
Starberry Limited investor protection violation2022CFTC$1,376,206
Berkley Capital Management, LLC et al. investor protection violation2022CFTC$6,198,632
SwapStar Capital LLC investor protection violation2022CFTC$5,255,560
Powerline Petroleum, LLC investor protection violation2022CFTC$875,000
Financial Tree Trust et al. investor protection violation2022CFTC$15,900,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2022CFTC$850,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2022CFTC$6,000,000
CTAX Series, LLC investor protection violation2022CFTC$2,358,661
Prime Agricultural Investors, Inc. investor protection violation2022CFTC$563,459
Main & Prospect Capital, LLC investor protection violation2022CFTC$7,606,395
Ztegrity, Inc. investor protection violation2022CFTC$943,570
BGC Derivative Markets, L.P. investor protection violation2022CFTC$1,900,000
CX Futures Exchange, L.P. investor protection violation2022CFTC$6,500,000
ADM Investor Services Inc.Archer Daniels Midlandagribusinessinvestor protection violation2022CFTC$500,000
tpSEF, Inc. investor protection violation2022CFTC$850,000
Quantum Financial Network, LLC investor protection violation2022CFTC$192,894
Asset Risk Management, LLC investor protection violation2022CFTC$200,000
Tanius Technology, LLC investor protection violation2022CFTC$600,000
COFCO Corp. andChinatex Corp., Ltd. investor protection violation2022CFTC$720,000
XP Investments US, LLC investor protection violation2022CFTC$500,000
bZeroX, LLC investor protection violation2022CFTC$250,000
Goldline, Inc. andA-Mark Precious Metals, Inc. investor protection violation2022CFTC$1,077,801
Welther Oaks, LLC investor protection violation2022CFTC$441,232
Walleye Capital LLC investor protection violation2022CFTC$550,000
Monex Deposit Company et al. investor protection violation2022CFTC$38,000,000
The Options Clearing Corporation investor protection violation2023CFTC$5,000,000
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2023CFTC$6,847,182
DCAST Capital Investments LLCandFive Traders LLC investor protection violation2023CFTC$16,087,440
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2023CFTC$15,000,000
AK Equity Group LLC and Xapphire LLC investor protection violation2023CFTC$24,080,325
SR&B Investment Enterprises, Inc. investor protection violation2023CFTC$2,461,877
King Royalty, LLC investor protection violation2023CFTC$6,978,837
Bull Run Advantage, LLC investor protection violation2023CFTC$215,719
Green Knight Investments, LLC investor protection violation2023CFTC$675,378
Argent Asset Group LLC and First State Depository Company, LLC investor protection violation2023CFTC$145,700,000
Challenger Life Company Limited investor protection violation2023CFTC$150,000
Bryant Capital Trade Management Corporation investor protection violation2023CFTC$250,655
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023CFTC$6,000,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2023CFTC$75,000,000
Societe GeneraleSociete Generalefinancial servicesinvestor protection violation2023CFTC$75,000,000
Wells FargoWells Fargofinancial servicesinvestor protection violation2023CFTC$75,000,000
Bank of MontrealBank of Montrealfinancial servicesinvestor protection violation2023CFTC$35,000,000
Bluprint LLC investor protection violation2023CFTC$8,863,753
Deridex, Inc. investor protection violation2023CFTC$100,000
Mirror Trading International Proprietary Limited investor protection violation2023CFTC$1,700,000,000
Opyn, Inc. investor protection violation2023CFTC$250,000
ZeroEx, Inc. investor protection violation2023CFTC$200,000
BareIt Media LLC investor protection violation2023CFTC$100,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2023CFTC$5,500,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2023CFTC$15,000,000
LYFE, S.A. anti-money-laundering deficiencies2023CFTC$212,014
Highland Quantitative Driven Investments LLC investor protection violation2023CFTC$476,206
Binance Holdings Limited et al.Binance Holdingsfinancial servicesinvestor protection violation2023CFTC(*)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 violation2023CFTC$21,308,692
Tradewale LLC and Tradewale Managed Fund investor protection violation2023CFTC$2,853,810
Oasis International Group et al. investor protection violation2023CFTC$53,270,336
Justby International Auctions investor protection violation2023CFTC$5,352,843
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.