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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Interactive Brokers Group
Ownership Structure: publicly traded (ticker symbol IBKR)
Headquartered in: Connecticut
Major Industry: financial services
Specific Industry: stock brokerage
Penalty total since 2000$186,494,042
Number of records: 17
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$186,494,04217
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$159,287,82815
anti-money-laundering deficiencies$27,206,2142
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.

Individual Penalty Records:

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

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon .
Interactive Brokers LLCinvestor protection violation2021CFTC$84,320,000
Interactive Brokers Corp.investor protection violation2023SEC$35,000,000
Interactive Brokers Corp. and Interactive Brokers LLCinvestor protection violation2023CFTC$20,000,000
Interactive Brokers LLCanti-money-laundering deficiencies2020FINRA$15,000,000
Interactive Brokers LLCanti-money-laundering deficiencies2020CFTC$12,206,214
Interactive Brokers LLCinvestor protection violation2020SEC$11,500,000
Interactive Brokers LLCinvestor protection violation2018FINRA$5,500,000
Interactive Brokers LLCinvestor protection violation2022CFTC$1,010,828
Interactive Brokers LLCinvestor protection violation2012CFTC$700,000
Interactive Brokers LLCinvestor protection violation2017FINRA$450,000
Interactive Brokers, L.L.C.investor protection violation2002FINRA$230,000
Interactive Brokers LLCinvestor protection violation2013CFTC$225,000
Interactive Brokers LLCinvestor protection violation2007CFTC$175,000
Interactive Brokers, LLCinvestor protection violation2019NJ-AG$100,000
Interactive Brokers LLCinvestor protection violation2014SEC$56,000
Interactive Brokers LLCinvestor protection violation2022OK-SEC$15,000
Interactive Brokers, LLCinvestor protection violation2013AR-SEC$6,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.