Violation Tracker Agency Summary Page

Agency Name: 
Commodity Futures Trading Commission
Penalty Total since 2000: 
$11,665,828,108
Number of Records: 
554
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 Parent CompaniesTotal Penalty $Number of Records
MF Global$1,324,000,0003
UBS$1,005,380,0006
Deutsche Bank$905,500,0005
Citigroup$761,175,0007
Barclays$716,860,0006
Royal Bank of Scotland$700,750,0004
JPMorgan Chase$597,815,00011
BC Capital Group$490,246,7411
Societe Generale$476,200,0003
Rabobank$475,000,0001


Individual Penalty Records:

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Company Parent Parent Major Industry Primary Offense Type Year Penalty Amountsort icon
MF Global Holdings Ltd. MF Global financial services securities issuance or trading violation 2014 $1,312,000,000
Deutsche Bank Deutsche Bank financial services interest rate benchmark manipulation 2015 $800,000,000
UBS AG UBS financial services interest rate benchmark manipulation 2012 $700,000,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. BC Capital Group financial services securities issuance or trading violation 2016 $490,246,741
Rabobank Rabobank financial services interest rate benchmark manipulation 2013 $475,000,000
Societe Generale S.A. Societe Generale financial services interest rate benchmark manipulation 2018 $475,000,000
Barclays Barclays financial services interest rate benchmark manipulation 2015 $400,000,000
Royal Bank of Scotland plc Royal Bank of Scotland financial services interest rate benchmark manipulation 2013 $325,000,000
Citibank Citigroup financial services interest rate benchmark manipulation 2014 $310,000,000
JPMorgan Chase Bank JPMorgan Chase financial services interest rate benchmark manipulation 2014 $310,000,000
BP Products North America Inc. BP oil and gas energy market manipulation 2007 $303,000,000
Royal Bank of Scotland plc Royal Bank of Scotland financial services interest rate benchmark manipulation 2014 $290,000,000
UBS AG UBS financial services interest rate benchmark manipulation 2014 $290,000,000
Morgan Stanley Smith Barney Morgan Stanley financial services financial institution supervision failures 2014 $280,000,000
HSBC Bank HSBC financial services interest rate benchmark manipulation 2014 $275,000,000
Citibank Citigroup financial services interest rate benchmark manipulation 2016 $250,000,000
Barclays PLC Barclays financial services interest rate benchmark manipulation 2012 $200,000,000
Citigroup Citigroup financial services interest rate benchmark manipulation 2016 $175,000,000
Premium Income Corp.   securities issuance or trading violation 2007 $123,000,000
Goldman Sachs Goldman Sachs financial services foreign exchange market manipulation 2016 $120,000,000
Barclays Barclays financial services interest rate benchmark manipulation 2015 $115,000,000
Hunter Wise Hunter Wise Commodities financial services securities issuance or trading violation 2014 $108,000,000
Lloyds Banking Group plc Lloyds Banking Group financial services interest rate benchmark manipulation 2014 $105,000,000
JPMorgan Chase Bank JPMorgan Chase financial services data submission deficiencies 2015 $100,000,000
JPMorgan Chase JPMorgan Chase financial services securities issuance or trading violation 2013 $100,000,000
International Financial Services (New York) LLC   securities issuance or trading violation 2004 $100,000,000
BNP Paribas Securities Corp. BNP Paribas financial services interest rate benchmark manipulation 2018 $90,000,000
Royal Bank of Scotland plc Royal Bank of Scotland financial services interest rate benchmark manipulation 2017 $85,000,000
Crossfire Trading, LLC   securities issuance or trading violation 2011 $84,000,000
Black Diamond Capital Solutions LLC, Life Plus Group LLC and Black Diamond Holdings LLC   securities issuance or trading violation 2015 $76,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services interest rate benchmark manipulation 2018 $70,000,000
JPMorgan Chase Bank, N.A. JPMorgan Chase financial services interest rate benchmark manipulation 2018 $65,000,000
MXBK Group S.A. de C.V. and MBFX S.A.   securities issuance or trading violation 2013 $57,000,000
ICAP Capital Markets LLC ICAP financial services interest rate benchmark manipulation 2018 $50,000,000
Centurion Asset Management, Inc.   securities issuance or trading violation 2011 $49,700,000
Forward Investment Group, LLC   securities issuance or trading violation 2011 $46,900,000
Winsome Investment Trust and US Ventures   securities issuance or trading violation 2014 $44,000,000
Trigon Group LLC   securities issuance or trading violation 2010 $41,200,000
Axcess Automation LLC and Axcess Fund Management LLC   securities issuance or trading violation 2012 $41,000,000
Barki LLC   securities issuance or trading violation 2011 $40,904,000
Trade, LLC   securities issuance or trading violation 2013 $39,800,000
InovaTrade, Inc.   securities issuance or trading violation 2013 $38,000,000
IB Capital FX, LLC   investor protection violation 2016 $35,420,000
Royal Bank of Canada Royal Bank of Canada financial services securities issuance or trading violation 2014 $35,000,000
AmeriFirst Management LLC   securities issuance or trading violation 2014 $35,000,000
Enron Corp. Enron utilities and power generation energy market manipulation 2004 $35,000,000
Executive Management Advisors L.L.C.   securities issuance or trading violation 2015 $31,000,000
American Electric Power Company, Inc. and AEP Energy Services, Inc. American Electric Power utilities and power generation data submission deficiencies 2005 $30,000,000
Coral Energy Resources, L.P.   data submission deficiencies 2004 $30,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc. Deutsche Bank financial services securities issuance or trading violation 2018 $30,000,000
Bank of America, N.A. Bank of America financial services interest rate benchmark manipulation 2018 $30,000,000
CTI Group LLC and Cooper Trading   securities issuance or trading violation 2014 $29,000,000
Duke Energy Trading and Marketing, L.L.C. Duke Energy utilities and power generation energy market manipulation 2003 $28,000,000
Princeton Global Management Ltd. and Princeton Economics International Ltd.   securities issuance or trading violation 2009 $27,000,000
Aquila Merchant Services   energy market manipulation 2004 $26,500,000
North Hills Management LLC   securities issuance or trading violation 2015 $26,000,000
Prestige Ventures Corporation and Federated Management Group, Inc.   securities issuance or trading violation 2010 $26,000,000
CRE Capital Corp.   securities issuance or trading violation 2010 $25,700,000
Moore Capital Management, LP   securities issuance or trading violation 2010 $25,000,000
Safevest LLC   securities issuance or trading violation 2009 $25,000,000
Citigroup Global Markets Inc. Citigroup financial services securities issuance or trading violation 2017 $25,000,000
Queen Shoals, LLC, Queen Shoals II, LLC, and Select Fund, LLC   securities issuance or trading violation 2011 $24,000,000
Executive Commodity Corp.   securities issuance or trading violation 2008 $23,910,000
Complete Developments, LLC and Investment International Inc.   securities issuance or trading violation 2013 $23,000,000
Trader's International Return Network   securities issuance or trading violation 2013 $22,800,000
Century Maxim Fund and AJR Capital   securities issuance or trading violation 2007 $22,500,000
Risk Capital Trading Group, Inc   securities issuance or trading violation 2006 $22,000,000
Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc.   securities issuance or trading violation 2007 $21,819,785
Chicago Index Partners, L.P. (CIP) and Wilkinson Financial Opportunity Fund, L.P.   fraud 2016 $21,800,000
Trigon Group, Inc.   securities issuance or trading violation 2012 $20,600,000
First Capitol Futures Group   securities issuance or trading violation 2010 $20,300,000
JPMorgan Chase Bank JPMorgan Chase financial services accounting fraud or deficiencies 2012 $20,000,000
The Williams Companies, Inc. Williams Companies oil and gas data submission deficiencies 2003 $20,000,000
WD Energy Services, Inc   energy market manipulation 2003 $20,000,000
El Paso Merchant Energy, L.P. Kinder Morgan pipelines energy market manipulation 2003 $20,000,000
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services   securities issuance or trading violation 2006 $19,555,041
Williams Advisory Group, LLC   investor protection violation 2018 $19,450,034
CRW Management LP   securities issuance or trading violation 2011 $19,000,000
Cromwell Financial Services, Inc.   securities issuance or trading violation 2007 $18,400,000
U.S. Bank National Association U.S. Bancorp financial services securities issuance or trading violation 2015 $18,000,000
American Bullion Exchange   securities issuance or trading violation 2014 $18,000,000
Reliant Energy Services, Inc. NRG Energy utilities and power generation energy market manipulation 2003 $18,000,000
DG Wealth Management   investor protection violation 2016 $17,499,623
Capital Blu Management, LLC   securities issuance or trading violation 2011 $17,000,000
Liberty Financial Trading Corp., Inc. and Liberty Real Assets Investment Corporation   securities issuance or trading violation 2007 $16,403,000
M25 Investments, Inc. and M37 Investments, LLC   securities issuance or trading violation 2010 $16,200,000
e prime, Inc. Xcel Energy utilities and power generation energy market manipulation 2004 $16,000,000
CMS Marketing Services & Trading and CMS Field Services   energy market manipulation 2003 $16,000,000
Altamont Global Partners LLC   securities issuance or trading violation 2014 $15,800,000
Brookshire Raw Materials Management, LLC   securities issuance or trading violation 2011 $15,800,000
The Trade Tech Institute, Inc. and Technology Trading International, Inc.   securities issuance or trading violation 2012 $15,759,357
New York Options Exchange, Tahoe Futures, International Energy Exchange, Vitol Capital Management,New York Petroleum Option Exchange, HPR Commodities, American Futures and Options Exchange, Metro Financials, and American Futures and Options Trading C   securities issuance or trading violation 2007 $15,524,957
UBS AG UBS financial services securities issuance or trading violation 2018 $15,000,000
Worldwide Commodity Corporation and South Coast Commodities, Inc.   securities issuance or trading violation 2006 $14,700,000
Forex Capital Markets LLC Jefferies Financial Group diversified securities issuance or trading violation 2011 $14,200,000
Morgan Stanley Capital Group Morgan Stanley financial services data submission deficiencies 2010 $14,000,000
Optiver Holding BV   securities issuance or trading violation 2012 $14,000,000
Rothlin & Windsor Capital Management, Inc.   fraud 2002 $13,924,051
Kooima & Kaemingk Commodities, Inc.   investor protection violation 2018 $13,170,857
Parnon Energy Inc., Arcadia Petroleum Ltd., and Arcadia Energy (Suisse) SA   securities issuance or trading violation 2014 $13,000,000
Mirant Americas Energy Marketing LP NRG Energy utilities and power generation energy market manipulation 2004 $12,500,000
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