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Violation Tracker Agency Summary Page

Agency Name: Commodity Futures Trading Commission
Penalty Total since 2000: $18,136,844,099
Number of Records: 776
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.

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount sort icon
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
Mirror Trading International Proprietary Limited investor protection violation2023$1,700,000,000
MF Global Holdings Ltd. investor protection violation2014$1,312,000,000
Glencore International A.G.Glencorefinancial servicesprice-fixing or anti-competitive practices2022$1,186,000,000
JPMorgan Chase & CompanyJPMorgan Chasefinancial servicesinvestor protection violation2020$920,200,000
Deutsche BankDeutsche Bankfinancial servicesprice-fixing or anti-competitive practices2015$800,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2012$700,000,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. investor protection violation2016$490,246,741
RabobankRabobankfinancial servicesprice-fixing or anti-competitive practices2013$475,000,000
Societe Generale S.A.Societe Generalefinancial servicesprice-fixing or anti-competitive practices2018$475,000,000
BarclaysBarclaysfinancial servicesprice-fixing or anti-competitive practices2015$400,000,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2013$325,000,000
CitibankCitigroupfinancial servicesprice-fixing or anti-competitive practices2014$310,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesprice-fixing or anti-competitive practices2014$310,000,000
BP Products North America Inc.BPoil and gasprice-fixing or anti-competitive practices2007$303,000,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2014$290,000,000
UBS AGUBSfinancial servicesprice-fixing or anti-competitive practices2014$290,000,000
HSBC BankHSBCfinancial servicesprice-fixing or anti-competitive practices2014$275,000,000
Easterday Ranches, Inc. investor protection violation2021$263,008,042
CitibankCitigroupfinancial servicesprice-fixing or anti-competitive practices2016$250,000,000
Barclays PLCBarclaysfinancial servicesprice-fixing or anti-competitive practices2012$200,000,000
CitigroupCitigroupfinancial servicesprice-fixing or anti-competitive practices2016$175,000,000
Argent Asset Group LLC and First State Depository Company, LLC investor protection violation2023$145,700,000
Premium Income Corp. investor protection violation2007$123,000,000
Goldman SachsGoldman Sachsfinancial servicesprice-fixing or anti-competitive practices2016$120,000,000
BarclaysBarclaysfinancial servicesprice-fixing or anti-competitive practices2015$115,000,000
Hunter Wise investor protection violation2014$108,000,000
Lloyds Banking Group plcLloyds Banking Groupfinancial servicesprice-fixing or anti-competitive practices2014$105,000,000
Highrise Advantage, LLC. investor protection violation2023$102,234,376
JPMorgan Chase BankJPMorgan Chasefinancial servicesdata submission deficiencies2015$100,000,000
JPMorgan ChaseJPMorgan Chasefinancial servicesinvestor protection violation2013$100,000,000
International Financial Services (New York) LLC investor protection violation2004$100,000,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2022$100,000,000
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
Freepoint Commodities LLC investor protection violation2023$91,000,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesprice-fixing or anti-competitive practices2018$90,000,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicesprice-fixing or anti-competitive practices2017$85,000,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2021$84,320,000
Crossfire Trading, LLC investor protection violation2011$84,000,000
The Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2020$77,400,000
Black Diamond Capital Solutions LLC, Life Plus Group LLC and Black Diamond Holdings LLC investor protection violation2015$76,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2021$75,000,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2022$75,000,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2022$75,000,000
Credit SuisseUBSfinancial servicesinvestor protection violation2022$75,000,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2022$75,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2022$75,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2022$75,000,000
UBS AGUBSfinancial servicesinvestor protection violation2022$75,000,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2023$75,000,000
Societe GeneraleSociete Generalefinancial servicesinvestor protection violation2023$75,000,000
Wells FargoWells Fargofinancial servicesinvestor protection violation2023$75,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesprice-fixing or anti-competitive practices2018$70,000,000
Tower Research Capital LLC investor protection violation2019$67,493,849
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesprice-fixing or anti-competitive practices2018$65,000,000
MXBK Group S.A. de C.V. and MBFX S.A. investor protection violation2013$57,000,000
Oasis International Group et al. investor protection violation2023$53,270,336
ICAP Capital Markets LLCCME Groupfinancial servicesprice-fixing or anti-competitive practices2018$50,000,000
The Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2020$50,000,000
HDR Global Trading Limited et al. investor protection violation2021$50,000,000
Nomura SecuritiesNomurafinancial servicesinvestor protection violation2022$50,000,000
Centurion Asset Management, Inc. investor protection violation2011$49,700,000
Forward Investment Group, LLC investor protection violation2011$46,900,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2023$45,000,000
Winsome Investment Trust and US Ventures investor protection violation2014$44,000,000
Trigon Group LLC investor protection violation2010$41,200,000
Axcess Automation LLC and Axcess Fund Management LLC investor protection violation2012$41,000,000
Tether Holdings Limited et al. investor protection violation2021$41,000,000
Barki LLC investor protection violation2011$40,904,000
Trade, LLC investor protection violation2013$39,800,000
InovaTrade, Inc. investor protection violation2013$38,000,000
Monex Deposit Company et al. investor protection violation2022$38,000,000
IB Capital FX, LLC investor protection violation2016$35,420,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesinvestor protection violation2014$35,000,000
AmeriFirst Management LLC investor protection violation2014$35,000,000
Enron Corp. price-fixing or anti-competitive practices2004$35,000,000
Bank of MontrealBank of Montrealfinancial servicesinvestor protection violation2023$35,000,000
Circle Society, Corp. investor protection violation2021$32,141,375
Executive Management Advisors L.L.C. investor protection violation2015$31,000,000
American Electric Power Company, Inc. and AEP Energy Services, Inc.American Electric Powerutilities and power generationdata submission deficiencies2005$30,000,000
Coral Energy Resources, L.P. data submission deficiencies2004$30,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$30,000,000
Bank of America, N.A.Bank of Americafinancial servicesprice-fixing or anti-competitive practices2018$30,000,000
Jefferies Financial Services, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2022$30,000,000
HSBC Bank PLCHSBCfinancial servicesinvestor protection violation2023$30,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$30,000,000
CTI Group LLC and Cooper Trading investor protection violation2014$29,000,000
Duke Energy Trading and Marketing, L.L.C.Duke Energyutilities and power generationprice-fixing or anti-competitive practices2003$28,000,000
Princeton Global Management Ltd. and Princeton Economics International Ltd. investor protection violation2009$27,000,000
Aquila Merchant ServicesEvergy Inc.utilities and power generationprice-fixing or anti-competitive practices2004$26,500,000
North Hills Management LLC investor protection violation2015$26,000,000
Prestige Ventures Corporation and Federated Management Group, Inc. investor protection violation2010$26,000,000
CRE Capital Corp. investor protection violation2010$25,700,000
Moore Capital Management, LP investor protection violation2010$25,000,000
Safevest LLC investor protection violation2009$25,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$25,000,000
Merrill Lynch Commodities, Inc.Bank of Americafinancial servicesinvestor protection violation2019(*)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
AK Equity Group LLC and Xapphire LLC investor protection violation2023$24,080,325
Queen Shoals, LLC, Queen Shoals II, LLC, and Select Fund, LLC investor protection violation2011$24,000,000
Executive Commodity Corp. investor protection violation2008$23,910,000
Silver Star FX LLC dba Silver Star Live and Silver Star Live Software LLC investor protection violation2021$23,506,392
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.