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Violation Tracker Agency Summary Page

Agency Name: Commodity Futures Trading Commission
Penalty Total since 2000: $18,136,844,099
Number of Records: 776
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 Current Parent CompaniesTotal Penalty $Number of Records
JPMorgan Chase$1,608,865,00015
Glencore$1,186,000,0001
UBS$1,158,045,00011
Deutsche Bank$990,750,0008
Citigroup$841,675,00010
Barclays$791,860,0007
NatWest Group PLC$701,600,0005
Societe Generale$555,200,0006
Rabobank$475,000,0001
HSBC$357,250,0006

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYear sort iconPenalty Amount
Peregrine Financial Group, Inc. investor protection violation2000$90,000
Farmers Cooperative Company investor protection violation2000$100,000
Sogemin Metals Inc. investor protection violation2000$500,000
First Options of Chicago, Inc. investor protection violation2000$163,000
Republic New York Securities CorporationHSBCfinancial servicesinvestor protection violation2001$5,000,000
Currency Trading Systems investor protection violation2001$1,521,000
Avista EnergyAvistautilities and power generationprice-fixing or anti-competitive practices2001$2,100,000
CTS Financial Publishing, Inc. consumer protection violation2001$220,000
Dynegy Marketing & Trade (Dynegy) and West Coast Power LLCVistra Energyutilities and power generationprice-fixing or anti-competitive practices2002$5,000,000
Prudential Securities, Inc.Wells Fargofinancial servicesdata submission deficiencies2002$65,000
Rothlin & Windsor Capital Management, Inc. fraud2002$13,924,051
Matrix Trading Group, Inc. fraud2002$299,129
Myers, Arnold, Davidson, Inc. and Cooper, Thomas, Unger, Inc. fraud2002$229,615
CMS Marketing Services & Trading and CMS Field Services price-fixing or anti-competitive practices2003$16,000,000
Reliant Energy Services, Inc.NRG Energyutilities and power generationprice-fixing or anti-competitive practices2003$18,000,000
Boston Trading Advisors, LLC investor protection violation2003$10,000
Duke Energy Trading and Marketing, L.L.C.Duke Energyutilities and power generationprice-fixing or anti-competitive practices2003$28,000,000
Enserco Energy, Inc. price-fixing or anti-competitive practices2003$3,000,000
The Williams Companies, Inc.Williams Companiesoil and gasdata submission deficiencies2003$20,000,000
WD Energy Services, Inc price-fixing or anti-competitive practices2003$20,000,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesdata submission deficiencies2003$45,000
Carr Futures Inc data submission deficiencies2003$75,000
El Paso Merchant Energy, L.P.Kinder Morganpipelinesprice-fixing or anti-competitive practices2003$20,000,000
E Net Speculation Ltd. investor protection violation2004$50,000
Mirant Americas Energy Marketing LPNRG Energyutilities and power generationprice-fixing or anti-competitive practices2004$12,500,000
Cinergy Marketing & Trading, LPBNP Paribasfinancial servicesdata submission deficiencies2004$3,000,000
Credit Lyonnais Rouse LimitedCredit Agricolefinancial servicesinvestor protection violation2004$25,000
Fimat International Banque SA investor protection violation2004$25,000
Refco Overseas Limited investor protection violation2004$25,000
World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc. investor protection violation2004$7,520,580
Coral Energy Resources, L.P. data submission deficiencies2004$30,000,000
Enron Corp. price-fixing or anti-competitive practices2004$35,000,000
United Energy, Inc. investor protection violation2004$20,000
Western Gas Resources, Inc. investor protection violation2004$7,000,000
International Financial Services (New York) LLC investor protection violation2004$100,000,000
Barry Callebaut Sourcing AGBarry Callebautfood productsinvestor protection violation2004$25,000
Olam International LimitedOlam Groupagribusinessinvestor protection violation2004$20,000
Aquila Merchant ServicesEvergy Inc.utilities and power generationprice-fixing or anti-competitive practices2004$26,500,000
Calpine Energy Services, L.P.Energy Capital Partnersprivate equity (including portfolio companies)investor protection violation2004$1,500,000
e prime, Inc.Xcel Energyutilities and power generationprice-fixing or anti-competitive practices2004$16,000,000
Entergy Koch Trading, L.P.Entergyutilities and power generationdata submission deficiencies2004$3,000,000
ONEOK Inc.Oneokpipelinesdata submission deficiencies2004$3,000,000
Veras Investment Partners, LLC investor protection violation2005$500,000
Trade Exchange Network Limited investor protection violation2005$150,000
Credit Lyonnais Rouse LimitedCredit Agricolefinancial servicesinvestor protection violation2005$85,000
Armajaro Trading Limited investor protection violation2005$35,000
Warenhandelsgesellschaft Corinth, m.b.H. investor protection violation2005$25,000
American Electric Power Company, Inc. and AEP Energy Services, Inc.American Electric Powerutilities and power generationdata submission deficiencies2005$30,000,000
Allegheny Gulf Investments, Inc investor protection violation2005$440,000
Hencorp Becstone Futures LC investor protection violation2005$50,000
Emerald Worldwide Holdings, Inc. investor protection violation2006$3,433,721
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services investor protection violation2006$19,555,041
Worldwide Commodity Corporation and South Coast Commodities, Inc. investor protection violation2006$14,700,000
Dominion Resources, Inc.Dominion Energyutilities and power generationdata submission deficiencies2006$4,250,000
Axess Trading Co., Inc. investor protection violation2006$569,437
International Investments Holdings Corp. investor protection violation2006$12,120,000
Risk Capital Trading Group, Inc investor protection violation2006$22,000,000
COES FX Clearing, Inc. investor protection violation2006$246,601
Nexgen Software Systems, Inc. investor protection violation2006$20,000
Wall Street Underground, Inc. investor protection violation2006$9,500,000
First American Investment Services, Inc. investor protection violation2006$8,983,388
Shell International Trading and Shipping Co.Shell PLCoil and gasinvestor protection violation2006$200,000
MF Global Inc. investor protection violation2007$2,000,000
Commercial Hedge Services, Inc. investor protection violation2007$325,000
FxTrade Financial, LLC investor protection violation2007$3,466,000
Millenium Trading Group, LLC investor protection violation2007$3,861,516
Worldwide Clearing, LLC investor protection violation2007$3,692,516
Cromwell Financial Services, Inc. investor protection violation2007$18,400,000
BP Products North America Inc.BPoil and gasprice-fixing or anti-competitive practices2007$303,000,000
International Currency Exchange, Inc. investor protection violation2007$1,650,000
Russell Investments Ireland Limited and Russell Investments Cayman Ltd. data submission deficiencies2007$120,000
Banque CIAL investor protection violation2007$80,000
Longboat Global Funds Management investor protection violation2007$10,317,183
New York Options Exchange, Tahoe Futures, International Energy Exchange, Vitol Capital Management,New York Petroleum Option Exchange, HPR Commodities, investor protection violation2007$15,524,957
Marathon Petroleum CompanyMarathon Petroleumoil and gasprice-fixing or anti-competitive practices2007$1,000,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americafinancial servicesdata submission deficiencies2007$500,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2007$175,000
Worldwide Forex, Inc. and Worldwide Commodity Corp. investor protection violation2007$4,200,000
American Energy Exchange and York Commodities investor protection violation2007$3,652,788
Liberty Financial Trading Corp., Inc. and Liberty Real Assets Investment Corporation investor protection violation2007$16,403,000
Century Maxim Fund and AJR Capital investor protection violation2007$22,500,000
Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc. investor protection violation2007$21,819,785
Concord Energy, LLC price-fixing or anti-competitive practices2007$800,000
Pioneer Futures Inc. data submission deficiencies2007$25,000
Man Financial Inc. investor protection violation2007$316,900
NRG Energy, Inc.NRG Energyutilities and power generationdata submission deficiencies2007$2,000,000
Premium Income Corp. investor protection violation2007$123,000,000
Acceleration Capital, LLC investor protection violation2007$218,000
Rosenthal Collins Group data submission deficiencies2007$25,000
Falco & Stevens, Inc. investor protection violation2007$4,724,607
INH-Interholding SA investor protection violation2008$6,075,841
Innovative Capital Management, LLC investor protection violation2008$1,350,000
Linuxor Asset Management LLC investor protection violation2008$200,000
Dairy Farmers of America, Inc.Dairy Farmers of America (DFA)food productsinvestor protection violation2008$12,000,000
Alliance Development Company investor protection violation2008$2,200,000
The Liberty Mutual Group, Inc., Addison Financial Group, Inc., Addison Management Group, Inc., Hamlin Mercer Group, Inc., and Colfax Management Group, investor protection violation2008$12,000,000
Aurifex Commodities Research Company investor protection violation2008$150,000
4NExchange investor protection violation2008$480,000
Mansur Capital Corporation investor protection violation2008$75,000
Persistent Edge Management, LLC investor protection violation2008$120,000
Stillwater Capital Partners, Inc. and Stillwater Capital Partners, LLC investor protection violation2008$135,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.