Violation Tracker Parent Company Summary

Parent Company Name: 
MF Global
Ownership Structure: 
out of business
Headquartered in: 
New York
Major Industry: 
financial services
Specific Industry: 
derivatives brokerage
Penalty total since 2000: 
$1,324,000,000
Number of records: 
3
Top 10 Primary Offense TypesPenalty TotalNumber of Records
securities issuance or trading violation$1,314,000,0002
financial institution supervision failures$10,000,0001
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 dollar total above may be adjusted to account for the fact that the list of 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 list below.

Associated Names: 

MF Global; MF GLOBAL HOLDING


Individual Penalty Records:

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Company Primary Offense Type Year Agency Penalty Amountsort icon
MF Global Holdings Ltd. securities issuance or trading violation 2014 CFTC $1,312,000,000
MF Global Inc. financial institution supervision failures 2009 CFTC $10,000,000
MF Global Inc. securities issuance or trading violation 2007 CFTC $2,000,000
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