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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 Type sort iconYearPenalty Amount
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesaccounting fraud or deficiencies2014$3,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesaccounting fraud or deficiencies2012$20,000,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesanti-money-laundering deficiencies2020$12,206,214
CHS Hedging LLCCHS Inc.agribusinessanti-money-laundering deficiencies2022$6,500,000
LYFE, S.A. anti-money-laundering deficiencies2023$212,014
CTS Financial Publishing, Inc. consumer protection violation2001$220,000
JPMorgan ChaseJPMorgan Chasefinancial servicesdata submission deficiencies2016$225,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesdata submission deficiencies2015$100,000,000
Deutsche Bank AGDeutsche Bankfinancial servicesdata submission deficiencies2015$2,500,000
JPMorgan SecuritiesJPMorgan Chasefinancial servicesdata submission deficiencies2014$650,000
Mizuho Securities USA Inc.Mizuho Financialfinancial servicesdata submission deficiencies2013$175,000
Morgan Stanley Capital GroupMorgan Stanleyfinancial servicesdata submission deficiencies2010$14,000,000
UBS SecuritiesUBSfinancial servicesdata submission deficiencies2010$200,000
Citigroup Private Bank GP, Inc.Citigroupfinancial servicesdata submission deficiencies2009$100,000
J.P. Morgan Futures, Inc.JPMorgan Chasefinancial servicesdata submission deficiencies2009$300,000
Fortis Investment Management USA, Inc. data submission deficiencies2009$75,000
Spring Mountain Capital G.P., LLC data submission deficiencies2009$75,000
Spring Mountain Capital, LP data submission deficiencies2009$75,000
UBS Fund Advisor, LLCUBSfinancial servicesdata submission deficiencies2009$50,000
BNP Paribas Commodity Futures, Ltd.BNP Paribasfinancial servicesdata submission deficiencies2008$25,000
Paradigm Capital Management LLC data submission deficiencies2008$75,000
Russell Investments Ireland Limited and Russell Investments Cayman Ltd. data submission deficiencies2007$120,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americafinancial servicesdata submission deficiencies2007$500,000
Pioneer Futures Inc. data submission deficiencies2007$25,000
NRG Energy, Inc.NRG Energyutilities and power generationdata submission deficiencies2007$2,000,000
Rosenthal Collins Group data submission deficiencies2007$25,000
Dominion Resources, Inc.Dominion Energyutilities and power generationdata submission deficiencies2006$4,250,000
American Electric Power Company, Inc. and AEP Energy Services, Inc.American Electric Powerutilities and power generationdata submission deficiencies2005$30,000,000
Cinergy Marketing & Trading, LPBNP Paribasfinancial servicesdata submission deficiencies2004$3,000,000
Coral Energy Resources, L.P. data submission deficiencies2004$30,000,000
Entergy Koch Trading, L.P.Entergyutilities and power generationdata submission deficiencies2004$3,000,000
ONEOK Inc.Oneokpipelinesdata submission deficiencies2004$3,000,000
The Williams Companies, Inc.Williams Companiesoil and gasdata submission deficiencies2003$20,000,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesdata submission deficiencies2003$45,000
Carr Futures Inc data submission deficiencies2003$75,000
Prudential Securities, Inc.Wells Fargofinancial servicesdata submission deficiencies2002$65,000
RNS Holdings LP data submission deficiencies2016$389,032
Barclays Bank PLCBarclaysfinancial servicesdata submission deficiencies2016$500,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesdata submission deficiencies2016$400,000
Societe GeneraleSociete Generalefinancial servicesdata submission deficiencies2016$450,000
CNCGC Hong Kong Ltd data submission deficiencies2017$150,000
Ikon Global Markets Inc. data submission deficiencies2017$200,000
Morgan StanleyMorgan Stanleyfinancial servicesdata submission deficiencies2017$350,000
Citibank N.A.Citigroupfinancial servicesdata submission deficiencies2017$550,000
DeBrink Trading Fund I, LLC fraud2016$910,000
James A. Shepherd Inc. fraud2016$8,060,810
Chicago Index Partners, L.P. (CIP) and Wilkinson Financial Opportunity Fund, L.P. fraud2016$21,800,000
Kering Capital Ltd. fraud2016$1,200,000
Convergent Wealth Advisors LLC fraud2016$800,000
3Red Trading LLC fraud2016$2,500,000
EJS Capital Management fraud2017$11,600,000
Draven, LLC fraud2017$1,487,964
United Business Servicing fraud2017$4,941,157
STA Opus NR LLC fraud2017$4,521,420
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
Vitol Inc.Vitolfinancial servicesfraud2020(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
Credit SuisseUBSfinancial servicesinvestor protection violation2016$665,000
BNP Paribas SecuritiesBNP Paribasfinancial servicesinvestor protection violation2015$140,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2015$300,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesinvestor protection violation2014$35,000,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014$280,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2014$1,200,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014$490,000
Morgan Stanley Capital GroupMorgan Stanleyfinancial servicesinvestor protection violation2014$200,000
JPMorgan ChaseJPMorgan Chasefinancial servicesinvestor protection violation2013$100,000,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2013$1,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2012$1,500,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2012$200,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesinvestor protection violation2012$600,000
CitigroupCitigroupfinancial servicesinvestor protection violation2012$525,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2012$5,000,000
Goldman Sachs Execution & Clearing LPGoldman Sachsfinancial servicesinvestor protection violation2012$7,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2012$140,000
BlackRock Institutional Trust Company NABlackRockfinancial servicesinvestor protection violation2012$250,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$350,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$800,000
Vault Options, Ltd. and Global Trader 365 investor protection violation2016$4,587,371
Atlantas Group, Inc. investor protection violation2016$7,200,000
Agrocorp International Pte Ltd. investor protection violation2016$150,000
Golden Agri International Pte Ltd. investor protection violation2016$150,000
Tech Power Inc. investor protection violation2016$250,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2016$560,000
DG Wealth Management investor protection violation2016$17,499,623
Emini Experts, LLC and Capital Trading Concepts LLC investor protection violation2016$2,795,901
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc. investor protection violation2016$2,451,568
BFXNA Inc. d/b/a Bitfinex investor protection violation2016$75,000
Cypress Wealth Management, Inc. investor protection violation2016$430,764
Cunningham Commodities, LLC investor protection violation2016$150,000
Galileo Trading LLC investor protection violation2016$1,608,640
Badge Trading LLC investor protection violation2016$280,000
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC investor protection violation2016$4,723,246
Equinox Fund Management LLC investor protection violation2016$5,654,004
IBFX Inc. investor protection violation2016$1,000,000
CHS Inc.CHS Inc.agribusinessinvestor protection violation2016$1,000,000
Banc de Binary Ltd. investor protection violation2016$9,100,000
4X Solutions Inc. investor protection violation2016$10,980,904
Worth Group Inc. investor protection violation2016$2,500,000
Otkritie Capital International, Ltd. investor protection violation2016$140,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. investor protection violation2016$490,246,741
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.