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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 TypeYearPenalty Amount sort icon
Tanius Technology, LLC investor protection violation2022$600,000
Amada Capital Management LLC investor protection violation2020$596,700
Global Consortiums LLC investor protection violation2015$589,660
Classic Energy LLC investor protection violation2021$585,000
American Portfolio Asset Management, Inc. investor protection violation2015$578,474
Axess Trading Co., Inc. investor protection violation2006$569,437
Prime Agricultural Investors, Inc. investor protection violation2022$563,459
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2016$560,000
Bunge Global Markets, Inc.Bungeagribusinessinvestor protection violation2011$550,000
Citibank N.A.Citigroupfinancial servicesdata submission deficiencies2017$550,000
Walleye Capital LLC investor protection violation2022$550,000
Inter-Global Currency & Precious Metals investor protection violation2015$547,342
CitigroupCitigroupfinancial servicesinvestor protection violation2012$525,000
Vision Financial Markets LLC investor protection violation2013$525,000
Midwest Metals Exchange investor protection violation2015$522,852
Palm Beach Capital LLC investor protection violation2014$520,960
One World Capital Group investor protection violation2010$520,000
Futures International LLC investor protection violation2015$500,000
Cargill de Mexico SA De CVCargillagribusinessinvestor protection violation2015$500,000
Multigrain SA and Agricola Xingu SA investor protection violation2014$500,000
Francis Grant Investments Inc. investor protection violation2011$500,000
Cyber Market Group LLC investor protection violation2011$500,000
Pinemore, L.P. (Pinemore) and Birchmore, L.P. investor protection violation2010$500,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americafinancial servicesdata submission deficiencies2007$500,000
Veras Investment Partners, LLC investor protection violation2005$500,000
Sogemin Metals Inc. investor protection violation2000$500,000
Barclays Bank PLCBarclaysfinancial servicesdata submission deficiencies2016$500,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2017$500,000
Essex Futures investor protection violation2019$500,000
Mitsubishi Corporation RtM Japan Ltd.Mitsubishi Corporationdiversifiedinvestor protection violation2019$500,000
CHS, Inc.CHS Inc.agribusinessinvestor protection violation2019$500,000
OANDA Corporation investor protection violation2020$500,000
SummerHaven Investment Management LLC investor protection violation2021$500,000
UBS AGUBSfinancial servicesinvestor protection violation2021$500,000
ADM Investor Services Inc.Archer Daniels Midlandagribusinessinvestor protection violation2022$500,000
XP Investments US, LLC investor protection violation2022$500,000
A&A Trading, Inc. investor protection violation2020$495,329
Billionaire Investor Group, The Toole Group Inc., and?Catalyst Traders LLC investor protection violation2017$493,141
Gain Capital UK Limited investor protection violation2020$491,671
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014$490,000
Libero Commodities SA investor protection violation2015$480,000
4NExchange investor protection violation2008$480,000
Rockwell Asset Management, Inc. investor protection violation2014$477,210
Highland Quantitative Driven Investments LLC investor protection violation2023$476,206
PGS Capital Wealth Management of Sherman Oaks, California, PGS Capital Credit, Inc. investor protection violation2014$462,727
Societe GeneraleSociete Generalefinancial servicesdata submission deficiencies2016$450,000
Sunoco LPEnergy Transferpipelinesinvestor protection violation2020$450,000
FNY Partners Fund LP investor protection violation2020$450,000
ICE Clear Europe Limited investor protection violation2021$450,000
ARB Trading Group LP investor protection violation2020$445,000
Welther Oaks, LLC investor protection violation2022$441,232
Allegheny Gulf Investments, Inc investor protection violation2005$440,000
Cypress Wealth Management, Inc. investor protection violation2016$430,764
ADM Investor Services, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2013$425,000
1pool Ltd. investor protection violation2019$421,000
Alfred C. Toepfer International, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2015$400,000
SHK Management LLC investor protection violation2013$400,000
Foremost Trading LLC investor protection violation2013$400,000
The Linn Group, Inc. investor protection violation2013$400,000
Forex Liquidity LLC investor protection violation2012$400,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesdata submission deficiencies2016$400,000
Mitsubishi International CorporationMitsubishi Corporationdiversifiedinvestor protection violation2019$400,000
AG Processing IncAg Processing Inc.agribusinessinvestor protection violation2021$400,000
BBL Commodities LP investor protection violation2023$400,000
Advantage Futures LLC investor protection violation2023$395,000
RNS Holdings LP data submission deficiencies2016$389,032
Midwest Land & Livestock, Inc., SKV Farms Inc. and DCV Farms, Inc. investor protection violation2011$382,000
Sentry Asset Group, LLC d/b/a Sentry Asset Management, LLC investor protection violation2015$378,767
Laino Group Limited d/b/a PaxForex investor protection violation2021$374,864
KatchPips FX LLC investor protection violation2021$374,480
Lighthouse Futures, Ltd. investor protection violation2021$370,000
Centurion Global Capital Management LLC investor protection violation2012$360,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$350,000
GlobeFX Club, Inc. investor protection violation2012$350,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2012$350,000
Morgan StanleyMorgan Stanleyfinancial servicesdata submission deficiencies2017$350,000
Eagle Market Makers, Inc. investor protection violation2019$350,000
Trans Global Investments, LLC investor protection violation2013$340,000
Infinity Futures LLC investor protection violation2012$340,000
Commercial Hedge Services, Inc. investor protection violation2007$325,000
Man Financial Inc. investor protection violation2007$316,900
Newport Private Capital LLC investor protection violation2018$315,000
Rosenthal Collins Group, LLC investor protection violation2008$310,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2015$300,000
Velocity Futures, LLC investor protection violation2013$300,000
R.J. O'Brien & Associates, LLC investor protection violation2013$300,000
J.P. Morgan Futures, Inc.JPMorgan Chasefinancial servicesdata submission deficiencies2009$300,000
Copersucar Trading A.V.V. investor protection violation2017$300,000
Arab Global Commodities DMCC investor protection violation2017$300,000
Global Asset Advisors LLC d/b/a Daniels Trading investor protection violation2018$300,000
Honouround (HK) International Trade Co. Ltd.? investor protection violation2018$300,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesinvestor protection violation2019$300,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$300,000
Gain Capital Group, LLCStoneX Groupfinancial servicesinvestor protection violation2020$300,000
Matrix Trading Group, Inc. fraud2002$299,129
Alaron Trading Corporation investor protection violation2008$299,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014$280,000
Badge Trading LLC investor protection violation2016$280,000
Nord Capital Advisors LLC investor protection violation2015$280,000
Farr Financial Inc. investor protection violation2012$280,000
ProfitStars Intl, Corp. investor protection violation2012$280,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.