Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2012 | CFTC | $200,000 |
JPMorgan Chase Bank | JPMorgan Chase | investor protection violation | 2012 | CFTC | $600,000 |
Citigroup | Citigroup | investor protection violation | 2012 | CFTC | $525,000 |
Barclays PLC | Barclays | price-fixing or anti-competitive practices | 2012 | CFTC | $200,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2012 | CFTC | $5,000,000 |
JPMorgan Chase Bank | JPMorgan Chase | accounting fraud or deficiencies | 2012 | CFTC | $20,000,000 |
Goldman Sachs Execution & Clearing LP | Goldman Sachs | investor protection violation | 2012 | CFTC | $7,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2012 | CFTC | $140,000 |
BlackRock Institutional Trust Company NA | BlackRock | investor protection violation | 2012 | CFTC | $250,000 |
Merrill Lynch | Bank of America | investor protection violation | 2011 | CFTC | $350,000 |
Morgan Stanley Capital Group | Morgan Stanley | data submission deficiencies | 2010 | CFTC | $14,000,000 |
UBS Securities | UBS | data submission deficiencies | 2010 | CFTC | $200,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | CFTC | $800,000 |
Barclays Bank PLC | Barclays | investor protection violation | 2016 | CFTC | $560,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | investor protection violation | 2015 | CFTC | $150,000 |
INTL FCStone Markets, LLC | StoneX Group | investor protection violation | 2015 | CFTC | $200,000 |
FCStone, LLC | StoneX Group | investor protection violation | 2015 | CFTC | $140,000 |
ICE Futures U.S. Inc. | IntercontinentalExchange Group | investor protection violation | 2015 | CFTC | $3,000,000 |
U.S. Bank National Association | U.S. Bancorp | investor protection violation | 2015 | CFTC | $18,000,000 |
Global Futures & Forex, Ltd. | StoneX Group | investor protection violation | 2014 | CFTC | $200,000 |
Macquarie Futures USA LLC | Macquarie | investor protection violation | 2013 | CFTC | $150,000 |
FCStone LLC | StoneX Group | investor protection violation | 2013 | CFTC | $1,500,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2013 | CFTC | $225,000 |
Cantor Fitzgerald | Cantor Fitzgerald | investor protection violation | 2012 | CFTC | $700,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | investor protection violation | 2012 | CFTC | $350,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2012 | CFTC | $700,000 |
FCStone, LLC and Commodity Operations Inc. | StoneX Group | investor protection violation | 2012 | CFTC | $260,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2011 | CFTC | $100,000 |
Vitol Inc. and Vitol Capital Management Ltd. | Vitol | investor protection violation | 2010 | CFTC | $6,000,000 |
Noble Americas Corp. | Vitol | investor protection violation | 2010 | CFTC | $130,000 |
UBS AG | UBS | investor protection violation | 2010 | CFTC | $130,000 |
Scotia Capital Inc. | Scotiabank | investor protection violation | 2010 | CFTC | $250,000 |
Citigroup Private Bank GP, Inc. | Citigroup | data submission deficiencies | 2009 | CFTC | $100,000 |
J.P. Morgan Futures, Inc. | JPMorgan Chase | data submission deficiencies | 2009 | CFTC | $300,000 |
UBS Fund Advisor, LLC | UBS | data submission deficiencies | 2009 | CFTC | $50,000 |
BNP Paribas Commodity Futures, Ltd. | BNP Paribas | data submission deficiencies | 2008 | CFTC | $25,000 |
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC | Bank of America | data submission deficiencies | 2007 | CFTC | $500,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2007 | CFTC | $175,000 |
Credit Lyonnais Rouse Limited | Credit Agricole | investor protection violation | 2005 | CFTC | $85,000 |
Cinergy Marketing & Trading, LP | BNP Paribas | data submission deficiencies | 2004 | CFTC | $3,000,000 |
Credit Lyonnais Rouse Limited | Credit Agricole | investor protection violation | 2004 | CFTC | $25,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | data submission deficiencies | 2003 | CFTC | $45,000 |
Prudential Securities, Inc. | Wells Fargo | data submission deficiencies | 2002 | CFTC | $65,000 |
Republic New York Securities Corporation | HSBC | investor protection violation | 2001 | CFTC | $5,000,000 |
Barclays Bank PLC | Barclays | data submission deficiencies | 2016 | CFTC | $500,000 |
Wells Fargo Bank, N.A. | Wells Fargo | data submission deficiencies | 2016 | CFTC | $400,000 |
SG Americas Securities, LLC | Societe Generale | investor protection violation | 2016 | CFTC | $750,000 |
Societe Generale | Societe Generale | data submission deficiencies | 2016 | CFTC | $450,000 |
Goldman Sachs | Goldman Sachs | price-fixing or anti-competitive practices | 2016 | CFTC | $120,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2017 | CFTC | $900,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2017 | CFTC | $25,000,000 |
E*TRADE Securities LLC | Morgan Stanley | investor protection violation | 2017 | CFTC | $280,000 |
Royal Bank of Scotland plc | NatWest Group PLC | price-fixing or anti-competitive practices | 2017 | CFTC | $85,000,000 |
Bank of Tokyo-Mitsubishi UFJ, Ltd. | Mitsubishi UFJ Financial Group | investor protection violation | 2017 | CFTC | $600,000 |
INTL FCStone Financial Inc. | StoneX Group | investor protection violation | 2017 | CFTC | $280,000 |
Morgan Stanley | Morgan Stanley | data submission deficiencies | 2017 | CFTC | $350,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2017 | CFTC | $500,000 |
Citibank N.A. | Citigroup | data submission deficiencies | 2017 | CFTC | $550,000 |
Merrill Lynch | Bank of America | investor protection violation | 2017 | CFTC | $2,500,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | price-fixing or anti-competitive practices | 2018 | CFTC | $70,000,000 |
HSBC Securities (USA) Inc. | HSBC | investor protection violation | 2018 | CFTC | $1,600,000 |
UBS AG | UBS | investor protection violation | 2018 | CFTC | $15,000,000 |
Deutsche Bank AG and Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2018 | CFTC | $30,000,000 |
BNP Paribas Securities Corp. | BNP Paribas | price-fixing or anti-competitive practices | 2018 | CFTC | $90,000,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | price-fixing or anti-competitive practices | 2018 | CFTC | $65,000,000 |
Societe Generale S.A. | Societe Generale | price-fixing or anti-competitive practices | 2018 | CFTC | $475,000,000 |
Commerzbank AG | Commerzbank | investor protection violation | 2018 | CFTC | $12,000,000 |
Bank of Nova Scotia | Scotiabank | investor protection violation | 2018 | CFTC | $800,000 |
Mizuho Bank, Ltd. | Mizuho Financial | investor protection violation | 2018 | CFTC | $250,000 |
Bank of America, N.A. | Bank of America | price-fixing or anti-competitive practices | 2018 | CFTC | $30,000,000 |
ICAP Capital Markets LLC | CME Group | price-fixing or anti-competitive practices | 2018 | CFTC | $50,000,000 |
NatWest Markets Plc | NatWest Group PLC | investor protection violation | 2018 | CFTC | $750,000 |
ABN AMRO Clearing Chicago LLC | ABN AMRO | investor protection violation | 2018 | CFTC | $160,000 |
Merrill Lynch Commodities, Inc. | Bank of America | investor protection violation | 2019 | CFTC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000 |
BGC Financial, L.P. | BGC Partners | investor protection violation | 2019 | CFTC | $3,000,000 |
Wells Fargo Bank, N.A. | Wells Fargo | investor protection violation | 2019 | CFTC | $14,475,000 |
BGC Financial, LP | BGC Partners | investor protection violation | 2019 | CFTC | $15,000,000 |
GFI Securities, LLC | BGC Partners | investor protection violation | 2019 | CFTC | $10,000,000 |
Morgan Stanley Capital Group Inc. | Morgan Stanley | investor protection violation | 2019 | CFTC | $1,500,000 |
PNC Bank, National Association | PNC Financial Services | investor protection violation | 2019 | CFTC | $300,000 |
Bank of New York Mellon | Bank of New York Mellon | investor protection violation | 2019 | CFTC | $750,000 |
NatWest Markets Plc | NatWest Group PLC | investor protection violation | 2019 | CFTC | $850,000 |
Northern Trust Company | Northern Trust | investor protection violation | 2019 | CFTC | $1,000,000 |
Societe Generale International Limited | Societe Generale | investor protection violation | 2019 | CFTC | $2,500,000 |
HSBC Bank USA, N.A. | HSBC | investor protection violation | 2019 | CFTC | $650,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2019 | CFTC | $5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2019 | CFTC | $300,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2019 | CFTC | $1,000,000 |
The Bank of Nova Scotia | Scotiabank | investor protection violation | 2020 | CFTC | $50,000,000 |
The Bank of Nova Scotia | Scotiabank | investor protection violation | 2020 | CFTC | $77,400,000 |
Interactive Brokers LLC | Interactive Brokers Group | anti-money-laundering deficiencies | 2020 | CFTC | $12,206,214 |
Deutsche Bank AG | Deutsche Bank | investor protection violation | 2020 | CFTC | $9,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2020 | CFTC | $1,250,000 |
Vitol Inc. | Vitol | fraud | 2020 | CFTC | (*)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 |
Morgan Stanley Capital Services LLC | Morgan Stanley | investor protection violation | 2020 | CFTC | $5,000,000 |
Gain Capital Group, LLC | StoneX Group | investor protection violation | 2020 | CFTC | $300,000 |
JPMorgan Chase & Company | JPMorgan Chase | investor protection violation | 2020 | CFTC | $920,200,000 |
Citibank N.A. | Citigroup | investor protection violation | 2020 | CFTC | $4,500,000 |
Coinbase Inc. | Coinbase Global Inc. | investor protection violation | 2021 | CFTC | $6,500,000 |
Credit Suisse | UBS | investor protection violation | 2021 | CFTC | $1,500,000 |
UBS AG | UBS | investor protection violation | 2021 | CFTC | $500,000 |