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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $287,662,850,737
Number of Penalty Records: 11,080
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$41,333,342,096156
UBS$27,713,994,893137
JPMorgan Chase$27,158,534,167124
Citigroup$19,750,393,935106
Deutsche Bank$15,638,617,27868
Goldman Sachs$13,128,062,84158
NatWest Group PLC$12,129,162,85723
Wells Fargo$10,735,730,989130
Morgan Stanley$9,905,512,956168
BNP Paribas$9,167,798,00012

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
GFI Securities, LLCBGC Partnersfinancial servicesinvestor protection violation2019CFTC$10,000,000
Mitsubishi International CorporationMitsubishi Corporationdiversifiedinvestor protection violation2019CFTC$400,000
Belvedere Trading LLC investor protection violation2019CFTC$1,100,000
Morgan Stanley Capital Group Inc.Morgan Stanleyfinancial servicesinvestor protection violation2019CFTC$1,500,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesinvestor protection violation2019CFTC$300,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2019CFTC$750,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2019CFTC$850,000
Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2019CFTC$1,000,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2019CFTC$650,000
CHS, Inc.CHS Inc.agribusinessinvestor protection violation2019CFTC$500,000
Intergrain S.A. investor protection violation2019CFTC$175,000
Hard Eight Futures, LLC investor protection violation2019CFTC$1,750,000
ARMKAT LLC investor protection violation2019CFTC$140,000
Heraeus Metals New York LLCHeraeusdiversifiedinvestor protection violation2019CFTC$130,000
Dinar Corp., Inc. and My Monex, Inc. investor protection violation2020CFTC$22,600,000
Mirae Asset Daewoo Co., Ltd. investor protection violation2020CFTC$700,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2019CFTC$1,000,000
FuturesFX investor protection violation2020CFTC$1,750,000
Amada Capital Management LLC investor protection violation2020CFTC$596,700
Edge Financial Technologies, LLC investor protection violation2020CFTC$145,200
Southwest Group, LLC investor protection violation2020CFTC$75,000
Plutus Financial, Inc. d/b/a Abra investor protection violation2020CFTC$150,000
Perfection PR Firm LLC investor protection violation2020CFTC$1,296,572
Foremost Trading LLC investor protection violation2020CFTC$923,013
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2020CFTC$9,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2020CFTC$1,250,000
Venture Capital Investments LLC investor protection violation2020CFTC$900,604
Black Diamond Forex LP, BDF Trading LP, and Advanta FX investor protection violation2020CFTC$1,200,000
Morgan Stanley Capital Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020CFTC$5,000,000
Sunoco LPEnergy Transferpipelinesinvestor protection violation2020CFTC$450,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.