Violation Tracker Summary for Primary Offense Type

Offense Type: 
data submission deficiencies
Penalty Total since 2000: 
Number of Penalty Records: 
The totals here are adjusted to account for the fact that each parent's entries 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. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.

Top 10 Parent CompaniesTotal Penalty $Number of Records
JPMorgan Chase$151,175,0005
American Electric Power$60,000,0002
Morgan Stanley$27,650,0005
Williams Companies$20,000,0001
Och-Ziff Capital Management$4,250,0001
Dominion Energy$4,250,0001
Credit Suisse$4,250,0001
Deutsche Bank$4,150,0002

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parentsort icon Parent Major Industry Year Agency Penalty Amount
Fortis Investment Management USA, Inc.   2009 CFTC $75,000
Spring Mountain Capital G.P., LLC   2009 CFTC $75,000
Spring Mountain Capital, LP   2009 CFTC $75,000
Paradigm Capital Management LLC   2008 CFTC $75,000
Russell Investments Ireland Limited and Russell Investments Cayman Ltd.   2007 CFTC $120,000
Pioneer Futures Inc.   2007 CFTC $25,000
Rosenthal Collins Group   2007 CFTC $25,000
Coral Energy Resources, L.P.   2004 CFTC $30,000,000
Carr Futures Inc   2003 CFTC $75,000
Gardere Wynne Sewell LLP   2002 SEC $1,200,000
RNS Holdings LP   2016 CFTC $389,032
CNCGC Hong Kong Ltd   2017 CFTC $150,000
Ikon Global Markets Inc.   2017 CFTC $200,000
Carmen Group   2015 USAO $125,000
Livingstone Inc. dba Lee's Check Cashing   2012 USAO $15,000
Interstate Helicopters, Inc.   2018 USAO $45,000
COR Clearing LLC   2018 SEC $800,000
Latam Games, LLC   2019 USAO $500,000
American Electric Power Company, Inc. and AEP Energy Services, Inc. American Electric Power utilities and power generation 2005 CFTC $30,000,000
American Electric Power American Electric Power utilities and power generation 2005 DOJ_CRIMINAL $30,000,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC Bank of America financial services 2007 CFTC $500,000
Barclays Bank PLC Barclays financial services 2016 CFTC $500,000
BNP Paribas Commodity Futures, Ltd. BNP Paribas financial services 2008 CFTC $25,000
Citigroup Global Markets Citigroup financial services 2016 SEC $7,000,000
Citigroup Private Bank GP, Inc. Citigroup financial services 2009 CFTC $100,000
Citibank N.A. Citigroup financial services 2017 CFTC $550,000
Convergex Execution Solutions LLC Cowen Inc. financial services 2018 SEC $2,750,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2015 SEC $4,250,000
Deutsche Bank AG Deutsche Bank financial services 2015 CFTC $2,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2002 SEC $1,650,000
Dominion Resources, Inc. Dominion Energy utilities and power generation 2006 CFTC $4,250,000
Cinergy Marketing & Trading, LP Duke Energy utilities and power generation 2004 CFTC $3,000,000
Entergy Koch Trading, L.P. Entergy utilities and power generation 2004 CFTC $3,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2002 SEC $1,650,000
JPMorgan Chase JPMorgan Chase financial services 2016 CFTC $225,000
JPMorgan Chase Bank JPMorgan Chase financial services 2015 CFTC $100,000,000
JPMorgan Securities JPMorgan Chase financial services 2014 CFTC $650,000
J.P. Morgan Futures, Inc. JPMorgan Chase financial services 2009 CFTC $300,000
Williams Power Company Inc. JPMorgan Chase financial services 2006 DOJ_CRIMINAL $50,000,000
Mizuho Securities USA Inc. Mizuho Financial financial services 2013 CFTC $175,000
Morgan Stanley Capital Group Morgan Stanley financial services 2010 CFTC $14,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2006 SEC $10,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2002 SEC $1,650,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2002 SEC $1,650,000
Morgan Stanley Morgan Stanley financial services 2017 CFTC $350,000
NRG Energy, Inc. NRG Energy utilities and power generation 2007 CFTC $2,000,000
OZ Management LP Och-Ziff Capital Management financial services 2015 SEC $4,250,000
ONEOK Inc. Oneok pipelines 2004 CFTC $3,000,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray financial services 2002 SEC $1,650,000
Societe Generale Societe Generale financial services 2016 CFTC $450,000
Scottrade TD Ameritrade financial services 2014 SEC $2,500,000
UBS Securities UBS financial services 2010 CFTC $200,000
UBS Fund Advisor, LLC UBS financial services 2009 CFTC $50,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2003 CFTC $45,000
Prudential Securities, Inc. Wells Fargo financial services 2002 CFTC $65,000
Wells Fargo Bank, N.A. Wells Fargo financial services 2016 CFTC $400,000
The Williams Companies, Inc. Williams Companies oil and gas 2003 CFTC $20,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
(*): Some penalties are partial or complete duplicates of other penalty records, either because a DOJ settlement duplicates an agency record or because EPA listed the full penalty for a company for each of the company's relevant facilities. Penalty amounts marked with an asterisk have been identified by Good Jobs First as duplicating other penalty amounts.