Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Current Parent Company Summary

Current Parent Company Name: StoneX Group
Ownership Structure: publicly traded (ticker symbol SNEX)
Headquartered in: New York
Major Industry: financial services
Specific Industry: commodities brokerage
Penalty total since 2000$3,030,000
Number of records: 8
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$3,030,0008
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$2,880,0007
accounting fraud or deficiencies$150,0001
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 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.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

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

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon
FCStone LLCinvestor protection violation2013CFTC$1,500,000
Gain Capital Group, LLCinvestor protection violation2020CFTC$300,000
INTL FCStone Financial Inc.investor protection violation2017CFTC$280,000
FCStone, LLC and Commodity Operations Inc.investor protection violation2012CFTC$260,000
INTL FCStone Markets, LLCinvestor protection violation2015CFTC$200,000
Global Futures & Forex, Ltd.investor protection violation2014CFTC$200,000
INTL FCStoneaccounting fraud or deficiencies2016SEC$150,000
FCStone, LLCinvestor protection violation2015CFTC$140,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.