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Violation Tracker Current Parent Company Summary

Current Parent Company Name: CME Group
Ownership Structure: publicly traded (ticker symbol CME)
Headquartered in: Illinois
Major Industry: financial services
Specific Industry: financial services
Penalty total since 2000$89,300,000
Number of records: 4
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
competition-related offenses$61,500,0002
financial offenses$27,800,0002
Top 5 Primary Offense TypesPenalty TotalNumber of Records
price-fixing or anti-competitive practices$61,500,0002
investor protection violation$27,800,0002
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the 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. The totals 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 list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

For an overview of assistance this company is receiving under the CARES Act, see its Covid Stimulus Watch summary page here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense Type sort icon . YearAgencyPenalty Amount
ICAP plcinvestor protection violation2009SEC$25,000,000
ICAP Corporates LLCinvestor protection violation2009FINRA$2,800,000
ICAP Capital Markets LLCprice-fixing or anti-competitive practices2018CFTC$50,000,000
ICAP Capital Markets LLCprice-fixing or anti-competitive practices2018private lawsuit-federal$11,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.