Binance Holdings Limited et al. | Binance Holdings | financial services | investor protection violation | 2023 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000 |
Mirror Trading International Proprietary Limited | | | investor protection violation | 2023 | $1,700,000,000 |
MF Global Holdings Ltd. | | | investor protection violation | 2014 | $1,312,000,000 |
Glencore International A.G. | Glencore | financial services | price-fixing or anti-competitive practices | 2022 | $1,186,000,000 |
JPMorgan Chase & Company | JPMorgan Chase | financial services | investor protection violation | 2020 | $920,200,000 |
Deutsche Bank | Deutsche Bank | financial services | price-fixing or anti-competitive practices | 2015 | $800,000,000 |
UBS AG | UBS | financial services | price-fixing or anti-competitive practices | 2012 | $700,000,000 |
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. | | | investor protection violation | 2016 | $490,246,741 |
Rabobank | Rabobank | financial services | price-fixing or anti-competitive practices | 2013 | $475,000,000 |
Societe Generale S.A. | Societe Generale | financial services | price-fixing or anti-competitive practices | 2018 | $475,000,000 |
Barclays | Barclays | financial services | price-fixing or anti-competitive practices | 2015 | $400,000,000 |
Royal Bank of Scotland plc | NatWest Group PLC | financial services | price-fixing or anti-competitive practices | 2013 | $325,000,000 |
Citibank | Citigroup | financial services | price-fixing or anti-competitive practices | 2014 | $310,000,000 |
JPMorgan Chase Bank | JPMorgan Chase | financial services | price-fixing or anti-competitive practices | 2014 | $310,000,000 |
BP Products North America Inc. | BP | oil and gas | price-fixing or anti-competitive practices | 2007 | $303,000,000 |
Royal Bank of Scotland plc | NatWest Group PLC | financial services | price-fixing or anti-competitive practices | 2014 | $290,000,000 |
UBS AG | UBS | financial services | price-fixing or anti-competitive practices | 2014 | $290,000,000 |
HSBC Bank | HSBC | financial services | price-fixing or anti-competitive practices | 2014 | $275,000,000 |
Easterday Ranches, Inc. | | | investor protection violation | 2021 | $263,008,042 |
Citibank | Citigroup | financial services | price-fixing or anti-competitive practices | 2016 | $250,000,000 |
Barclays PLC | Barclays | financial services | price-fixing or anti-competitive practices | 2012 | $200,000,000 |
Citigroup | Citigroup | financial services | price-fixing or anti-competitive practices | 2016 | $175,000,000 |
Argent Asset Group LLC and First State Depository Company, LLC | | | investor protection violation | 2023 | $145,700,000 |
Premium Income Corp. | | | investor protection violation | 2007 | $123,000,000 |
Goldman Sachs | Goldman Sachs | financial services | price-fixing or anti-competitive practices | 2016 | $120,000,000 |
Barclays | Barclays | financial services | price-fixing or anti-competitive practices | 2015 | $115,000,000 |
Hunter Wise | | | investor protection violation | 2014 | $108,000,000 |
Lloyds Banking Group plc | Lloyds Banking Group | financial services | price-fixing or anti-competitive practices | 2014 | $105,000,000 |
Highrise Advantage, LLC. | | | investor protection violation | 2023 | $102,234,376 |
JPMorgan Chase Bank | JPMorgan Chase | financial services | data submission deficiencies | 2015 | $100,000,000 |
JPMorgan Chase | JPMorgan Chase | financial services | investor protection violation | 2013 | $100,000,000 |
International Financial Services (New York) LLC | | | investor protection violation | 2004 | $100,000,000 |
Bank of America | Bank of America | financial services | investor protection violation | 2022 | $100,000,000 |
Vitol Inc. | Vitol | financial services | fraud | 2020 | (*)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 |
Freepoint Commodities LLC | | | investor protection violation | 2023 | $91,000,000 |
BNP Paribas Securities Corp. | BNP Paribas | financial services | price-fixing or anti-competitive practices | 2018 | $90,000,000 |
Royal Bank of Scotland plc | NatWest Group PLC | financial services | price-fixing or anti-competitive practices | 2017 | $85,000,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2021 | $84,320,000 |
Crossfire Trading, LLC | | | investor protection violation | 2011 | $84,000,000 |
The Bank of Nova Scotia | Scotiabank | financial services | investor protection violation | 2020 | $77,400,000 |
Black Diamond Capital Solutions LLC, Life Plus Group LLC and Black Diamond Holdings LLC | | | investor protection violation | 2015 | $76,000,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | financial services | investor protection violation | 2021 | $75,000,000 |
Barclays Bank PLC | Barclays | financial services | investor protection violation | 2022 | $75,000,000 |
Citibank N.A. | Citigroup | financial services | investor protection violation | 2022 | $75,000,000 |
Credit Suisse | UBS | financial services | investor protection violation | 2022 | $75,000,000 |
Deutsche Bank | Deutsche Bank | financial services | investor protection violation | 2022 | $75,000,000 |
Goldman Sachs | Goldman Sachs | financial services | investor protection violation | 2022 | $75,000,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2022 | $75,000,000 |
UBS AG | UBS | financial services | investor protection violation | 2022 | $75,000,000 |
BNP Paribas | BNP Paribas | financial services | investor protection violation | 2023 | $75,000,000 |
Societe Generale | Societe Generale | financial services | investor protection violation | 2023 | $75,000,000 |
Wells Fargo | Wells Fargo | financial services | investor protection violation | 2023 | $75,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | price-fixing or anti-competitive practices | 2018 | $70,000,000 |
Tower Research Capital LLC | | | investor protection violation | 2019 | $67,493,849 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | financial services | price-fixing or anti-competitive practices | 2018 | $65,000,000 |
MXBK Group S.A. de C.V. and MBFX S.A. | | | investor protection violation | 2013 | $57,000,000 |
Oasis International Group et al. | | | investor protection violation | 2023 | $53,270,336 |
ICAP Capital Markets LLC | CME Group | financial services | price-fixing or anti-competitive practices | 2018 | $50,000,000 |
The Bank of Nova Scotia | Scotiabank | financial services | investor protection violation | 2020 | $50,000,000 |
HDR Global Trading Limited et al. | | | investor protection violation | 2021 | $50,000,000 |
Nomura Securities | Nomura | financial services | investor protection violation | 2022 | $50,000,000 |
Centurion Asset Management, Inc. | | | investor protection violation | 2011 | $49,700,000 |
Forward Investment Group, LLC | | | investor protection violation | 2011 | $46,900,000 |
HSBC Bank USA, N.A. | HSBC | financial services | investor protection violation | 2023 | $45,000,000 |
Winsome Investment Trust and US Ventures | | | investor protection violation | 2014 | $44,000,000 |
Trigon Group LLC | | | investor protection violation | 2010 | $41,200,000 |
Axcess Automation LLC and Axcess Fund Management LLC | | | investor protection violation | 2012 | $41,000,000 |
Tether Holdings Limited et al. | | | investor protection violation | 2021 | $41,000,000 |
Barki LLC | | | investor protection violation | 2011 | $40,904,000 |
Trade, LLC | | | investor protection violation | 2013 | $39,800,000 |
InovaTrade, Inc. | | | investor protection violation | 2013 | $38,000,000 |
Monex Deposit Company et al. | | | investor protection violation | 2022 | $38,000,000 |
IB Capital FX, LLC | | | investor protection violation | 2016 | $35,420,000 |
Royal Bank of Canada | Royal Bank of Canada | financial services | investor protection violation | 2014 | $35,000,000 |
AmeriFirst Management LLC | | | investor protection violation | 2014 | $35,000,000 |
Enron Corp. | | | price-fixing or anti-competitive practices | 2004 | $35,000,000 |
Bank of Montreal | Bank of Montreal | financial services | investor protection violation | 2023 | $35,000,000 |
Circle Society, Corp. | | | investor protection violation | 2021 | $32,141,375 |
Executive Management Advisors L.L.C. | | | investor protection violation | 2015 | $31,000,000 |
American Electric Power Company, Inc. and AEP Energy Services, Inc. | American Electric Power | utilities and power generation | data submission deficiencies | 2005 | $30,000,000 |
Coral Energy Resources, L.P. | | | data submission deficiencies | 2004 | $30,000,000 |
Deutsche Bank AG and Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2018 | $30,000,000 |
Bank of America, N.A. | Bank of America | financial services | price-fixing or anti-competitive practices | 2018 | $30,000,000 |
Jefferies Financial Services, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2022 | $30,000,000 |
HSBC Bank PLC | HSBC | financial services | investor protection violation | 2023 | $30,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | financial services | investor protection violation | 2023 | $30,000,000 |
CTI Group LLC and Cooper Trading | | | investor protection violation | 2014 | $29,000,000 |
Duke Energy Trading and Marketing, L.L.C. | Duke Energy | utilities and power generation | price-fixing or anti-competitive practices | 2003 | $28,000,000 |
Princeton Global Management Ltd. and Princeton Economics International Ltd. | | | investor protection violation | 2009 | $27,000,000 |
Aquila Merchant Services | Evergy Inc. | utilities and power generation | price-fixing or anti-competitive practices | 2004 | $26,500,000 |
North Hills Management LLC | | | investor protection violation | 2015 | $26,000,000 |
Prestige Ventures Corporation and Federated Management Group, Inc. | | | investor protection violation | 2010 | $26,000,000 |
CRE Capital Corp. | | | investor protection violation | 2010 | $25,700,000 |
Moore Capital Management, LP | | | investor protection violation | 2010 | $25,000,000 |
Safevest LLC | | | investor protection violation | 2009 | $25,000,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2017 | $25,000,000 |
Merrill Lynch Commodities, Inc. | Bank of America | financial services | investor protection violation | 2019 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000 |
AK Equity Group LLC and Xapphire LLC | | | investor protection violation | 2023 | $24,080,325 |
Queen Shoals, LLC, Queen Shoals II, LLC, and Select Fund, LLC | | | investor protection violation | 2011 | $24,000,000 |
Executive Commodity Corp. | | | investor protection violation | 2008 | $23,910,000 |
Silver Star FX LLC dba Silver Star Live and Silver Star Live Software LLC | | | investor protection violation | 2021 | $23,506,392 |