Global Futures & Forex, Ltd. |
GAIN Capital Holdings |
investor protection violation |
2014 |
CFTC |
$200,000 |
Macquarie Futures USA LLC |
Macquarie |
investor protection violation |
2013 |
CFTC |
$150,000 |
FCStone LLC |
INTL FCStone |
investor protection violation |
2013 |
CFTC |
$1,500,000 |
Interactive Brokers LLC |
Interactive Brokers Group |
investor protection violation |
2013 |
CFTC |
$225,000 |
Cantor Fitzgerald |
Cantor Fitzgerald |
investor protection violation |
2012 |
CFTC |
$700,000 |
Interactive Brokers LLC |
Interactive Brokers Group |
investor protection violation |
2012 |
CFTC |
$700,000 |
FCStone, LLC and Commodity Operations Inc. |
INTL FCStone |
investor protection violation |
2012 |
CFTC |
$260,000 |
Cantor Fitzgerald & Co. |
Cantor Fitzgerald |
investor protection violation |
2011 |
CFTC |
$100,000 |
Vitol Inc. and Vitol Capital Management Ltd. |
Vitol |
investor protection violation |
2010 |
CFTC |
$6,000,000 |
Noble Americas Corp. |
Vitol |
investor protection violation |
2010 |
CFTC |
$130,000 |
UBS AG |
UBS |
investor protection violation |
2010 |
CFTC |
$130,000 |
Scotia Capital Inc. |
Scotiabank |
investor protection violation |
2010 |
CFTC |
$250,000 |
MF Global Inc. |
MF Global |
investor protection violation |
2009 |
CFTC |
$10,000,000 |
Citigroup Private Bank GP, Inc. |
Citigroup |
data submission deficiencies |
2009 |
CFTC |
$100,000 |
J.P. Morgan Futures, Inc. |
JPMorgan Chase |
data submission deficiencies |
2009 |
CFTC |
$300,000 |
UBS Fund Advisor, LLC |
UBS |
data submission deficiencies |
2009 |
CFTC |
$50,000 |
BNP Paribas Commodity Futures, Ltd. |
BNP Paribas |
data submission deficiencies |
2008 |
CFTC |
$25,000 |
MF Global Inc. |
MF Global |
investor protection violation |
2007 |
CFTC |
$2,000,000 |
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC |
Bank of America |
data submission deficiencies |
2007 |
CFTC |
$500,000 |
Interactive Brokers LLC |
Interactive Brokers Group |
investor protection violation |
2007 |
CFTC |
$175,000 |
Credit Lyonnais Rouse Limited |
Credit Agricole |
investor protection violation |
2005 |
CFTC |
$85,000 |
Credit Lyonnais Rouse Limited |
Credit Agricole |
investor protection violation |
2004 |
CFTC |
$25,000 |
A.G. Edwards & Sons, Inc. |
Wells Fargo |
data submission deficiencies |
2003 |
CFTC |
$45,000 |
Prudential Securities, Inc. |
Wells Fargo |
data submission deficiencies |
2002 |
CFTC |
$65,000 |
Republic New York Securities Corporation |
HSBC |
investor protection violation |
2001 |
CFTC |
$5,000,000 |
Barclays Bank PLC |
Barclays |
data submission deficiencies |
2016 |
CFTC |
$500,000 |
Wells Fargo Bank, N.A. |
Wells Fargo |
data submission deficiencies |
2016 |
CFTC |
$400,000 |
SG Americas Securities, LLC |
Societe Generale |
investor protection violation |
2016 |
CFTC |
$750,000 |
Societe Generale |
Societe Generale |
data submission deficiencies |
2016 |
CFTC |
$450,000 |
Goldman Sachs |
Goldman Sachs |
foreign exchange market manipulation |
2016 |
CFTC |
$120,000,000 |
J.P. Morgan Securities LLC |
JPMorgan Chase |
investor protection violation |
2017 |
CFTC |
$900,000 |
Citigroup Global Markets Inc. |
Citigroup |
investor protection violation |
2017 |
CFTC |
$25,000,000 |
E*TRADE Securities LLC |
Morgan Stanley |
investor protection violation |
2017 |
CFTC |
$280,000 |
Royal Bank of Scotland plc |
Royal Bank of Scotland |
interest rate benchmark manipulation |
2017 |
CFTC |
$85,000,000 |
INTL FCStone Financial Inc. |
INTL FCStone |
investor protection violation |
2017 |
CFTC |
$280,000 |
Morgan Stanley |
Morgan Stanley |
data submission deficiencies |
2017 |
CFTC |
$350,000 |
Morgan Stanley |
Morgan Stanley |
investor protection violation |
2017 |
CFTC |
$500,000 |
Citibank N.A. |
Citigroup |
data submission deficiencies |
2017 |
CFTC |
$550,000 |
Merrill Lynch |
Bank of America |
investor protection violation |
2017 |
CFTC |
$2,500,000 |
Deutsche Bank Securities Inc. |
Deutsche Bank |
interest rate benchmark manipulation |
2018 |
CFTC |
$70,000,000 |
HSBC Securities (USA) Inc. |
HSBC |
investor protection violation |
2018 |
CFTC |
$1,600,000 |
UBS AG |
UBS |
investor protection violation |
2018 |
CFTC |
$15,000,000 |
Deutsche Bank AG and Deutsche Bank Securities Inc. |
Deutsche Bank |
investor protection violation |
2018 |
CFTC |
$30,000,000 |
BNP Paribas Securities Corp. |
BNP Paribas |
interest rate benchmark manipulation |
2018 |
CFTC |
$90,000,000 |
Lansing Trade Group, LLC |
Lansing Trade Group |
investor protection violation |
2018 |
CFTC |
$3,400,000 |
JPMorgan Chase Bank, N.A. |
JPMorgan Chase |
interest rate benchmark manipulation |
2018 |
CFTC |
$65,000,000 |
Societe Generale S.A. |
Societe Generale |
interest rate benchmark manipulation |
2018 |
CFTC |
$475,000,000 |
Commerzbank AG |
Commerzbank |
investor protection violation |
2018 |
CFTC |
$12,000,000 |
Bank of Nova Scotia |
Scotiabank |
investor protection violation |
2018 |
CFTC |
$800,000 |
Mizuho Bank, Ltd. |
Mizuho Financial |
investor protection violation |
2018 |
CFTC |
$250,000 |
Bank of America, N.A. |
Bank of America |
interest rate benchmark manipulation |
2018 |
CFTC |
$30,000,000 |
ICAP Capital Markets LLC |
ICAP |
interest rate benchmark manipulation |
2018 |
CFTC |
$50,000,000 |
NatWest Markets Plc |
Royal Bank of Scotland |
investor protection violation |
2018 |
CFTC |
$750,000 |
ABN AMRO Clearing Chicago LLC |
ABN AMRO |
investor protection violation |
2018 |
CFTC |
$160,000 |
Merrill Lynch Commodities, Inc. |
Bank of America |
investor protection violation |
2019 |
CFTC |
(*) $24,900,000 |
BGC Financial, L.P. |
BGC Partners |
investor protection violation |
2019 |
CFTC |
$3,000,000 |
Wells Fargo Bank, N.A. |
Wells Fargo |
investor protection violation |
2019 |
CFTC |
$14,475,000 |
BGC Financial, LP |
BGC Partners |
investor protection violation |
2019 |
CFTC |
$15,000,000 |
GFI Securities, LLC |
BGC Partners |
investor protection violation |
2019 |
CFTC |
$10,000,000 |
Morgan Stanley Capital Group Inc. |
Morgan Stanley |
investor protection violation |
2019 |
CFTC |
$1,500,000 |
PNC Bank, National Association |
PNC Financial Services |
investor protection violation |
2019 |
CFTC |
$300,000 |
Bank of New York Mellon |
Bank of New York Mellon |
investor protection violation |
2019 |
CFTC |
$750,000 |
NatWest Markets Plc |
Royal Bank of Scotland |
investor protection violation |
2019 |
CFTC |
$850,000 |
Northern Trust Company |
Northern Trust |
investor protection violation |
2019 |
CFTC |
$1,000,000 |
Societe Generale International Limited |
Societe Generale |
investor protection violation |
2019 |
CFTC |
$2,500,000 |
HSBC Bank USA, N.A. |
HSBC |
investor protection violation |
2019 |
CFTC |
$650,000 |
RBC Capital Markets, LLC |
Royal Bank of Canada |
investor protection violation |
2019 |
CFTC |
$5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Bank of America |
investor protection violation |
2019 |
CFTC |
$300,000 |
Goldman Sachs & Co. LLC |
Goldman Sachs |
investor protection violation |
2019 |
CFTC |
$1,000,000 |
The Bank of Nova Scotia |
Scotiabank |
investor protection violation |
2020 |
CFTC |
$50,000,000 |
The Bank of Nova Scotia |
Scotiabank |
investor protection violation |
2020 |
CFTC |
$77,400,000 |
Interactive Brokers LLC |
Interactive Brokers Group |
anti-money-laundering deficiencies |
2020 |
CFTC |
$12,206,214 |
Deutsche Bank AG |
Deutsche Bank |
investor protection violation |
2020 |
CFTC |
$9,000,000 |
Deutsche Bank Securities Inc. |
Deutsche Bank |
investor protection violation |
2020 |
CFTC |
$1,250,000 |
Vitol Inc. |
Vitol |
fraud |
2020 |
CFTC |
(*) $95,700,000 |
Morgan Stanley Capital Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
CFTC |
$5,000,000 |
JPMorgan Chase & Company |
JPMorgan Chase |
investor protection violation |
2020 |
CFTC |
$920,200,000 |
Citibank N.A. |
Citigroup |
investor protection violation |
2020 |
CFTC |
$4,500,000 |
Citibank |
Citigroup |
consumer protection violation |
2016 |
CFPB |
$7,890,000 |
Citibank |
Citigroup |
consumer protection violation |
2016 |
CFPB |
$45,000,000 |
EZCORP Inc. |
EZCORP Inc. |
consumer protection violation |
2015 |
CFPB |
$10,500,000 |
Fifth Third Bank |
Fifth Third Bancorp |
consumer protection violation |
2015 |
CFPB |
$21,500,000 |
Hudson City Savings Bank |
M&T Bank |
banking violation |
2015 |
CFPB |
$32,750,000 |
Encore Capital Group |
Encore Capital Group |
consumer protection violation |
2015 |
CFPB |
$52,000,000 |
Springstone Financial, LLC |
LendingClub Corp. |
consumer protection violation |
2015 |
CFPB |
$700,000 |
Citizens Bank, N.A. |
Citizens Financial Group |
consumer protection violation |
2015 |
CFPB |
$18,500,000 |
Paymap Inc. |
Western Union |
consumer protection violation |
2015 |
CFPB |
$38,400,000 |
Discover Bank |
Discover Financial Services |
consumer protection violation |
2015 |
CFPB |
$18,500,000 |
Citibank N.A. |
Citigroup |
consumer protection violation |
2015 |
CFPB |
$733,800,000 |
JPMorgan Chase |
JPMorgan Chase |
consumer protection violation |
2015 |
CFPB |
$186,000,000 |
Provident Funding Associates |
Provident Funding Associates |
consumer protection violation |
2015 |
CFPB |
$9,000,000 |
PayPal Inc. |
PayPal Holdings |
consumer protection violation |
2015 |
CFPB |
$25,000,000 |
Regions Bank |
Regions Financial |
consumer protection violation |
2015 |
CFPB |
$7,500,000 |
Wells Fargo |
Wells Fargo |
consumer protection violation |
2015 |
CFPB |
$34,800,000 |
JPMorgan Chase |
JPMorgan Chase |
consumer protection violation |
2015 |
CFPB |
$900,000 |
M&T Bank |
M&T Bank |
consumer protection violation |
2014 |
CFPB |
$3,100,000 |
Flagstar Bank |
Flagstar Bancorp |
consumer protection violation |
2014 |
CFPB |
$37,500,000 |
U.S. Bank |
U.S. Bancorp |
consumer protection violation |
2014 |
CFPB |
$53,000,000 |
Amerisave Mortgage Corporation and Novo Appraisal Management Company |
AmeriSave Mortgage |
consumer protection violation |
2014 |
CFPB |
$19,300,000 |
ACE Cash Express |
ACE Cash Express |
consumer protection violation |
2014 |
CFPB |
$15,000,000 |
GE Capital Retail Bank, now known as Synchrony Bank |
Synchrony Financial |
consumer protection violation |
2014 |
CFPB |
$225,000,000 |