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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 Total | Number of Records |
| financial offenses | $186,494,042 | 17 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
| investor protection violation | $159,287,828 | 15 |
| anti-money-laundering deficiencies | $27,206,214 | 2 |
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.
| Company | Primary Offense Type | Year | Agency | Penalty Amount  |
| Interactive Brokers LLC | investor protection violation | 2021 | CFTC | $84,320,000 |
| Interactive Brokers Corp. | investor protection violation | 2023 | SEC | $35,000,000 |
| Interactive Brokers Corp. and Interactive Brokers LLC | investor protection violation | 2023 | CFTC | $20,000,000 |
| Interactive Brokers LLC | anti-money-laundering deficiencies | 2020 | FINRA | $15,000,000 |
| Interactive Brokers LLC | anti-money-laundering deficiencies | 2020 | CFTC | $12,206,214 |
| Interactive Brokers LLC | investor protection violation | 2020 | SEC | $11,500,000 |
| Interactive Brokers LLC | investor protection violation | 2018 | FINRA | $5,500,000 |
| Interactive Brokers LLC | investor protection violation | 2022 | CFTC | $1,010,828 |
| Interactive Brokers LLC | investor protection violation | 2012 | CFTC | $700,000 |
| Interactive Brokers LLC | investor protection violation | 2017 | FINRA | $450,000 |
| Interactive Brokers, L.L.C. | investor protection violation | 2002 | FINRA | $230,000 |
| Interactive Brokers LLC | investor protection violation | 2013 | CFTC | $225,000 |
| Interactive Brokers LLC | investor protection violation | 2007 | CFTC | $175,000 |
| Interactive Brokers, LLC | investor protection violation | 2019 | NJ-AG | $100,000 |
| Interactive Brokers LLC | investor protection violation | 2014 | SEC | $56,000 |
| Interactive Brokers LLC | investor protection violation | 2022 | OK-SEC | $15,000 |
| Interactive Brokers, LLC | investor protection violation | 2013 | AR-SEC | $6,000 |
