Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
Note: 
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
Bank of America$13,547,438,962115
UBS$11,679,855,33361
Citigroup$8,176,245,73063
JPMorgan Chase$6,010,421,20671
Morgan Stanley$4,209,326,733141
Deutsche Bank$4,049,166,82840
Goldman Sachs$3,904,979,98440
Wells Fargo$2,487,362,73582
American International Group$1,623,560,00010
MF Global$1,324,000,0003


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 Parent Parent Major Industry Year Agencysort icon Penalty Amount
World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc.   2004 CFTC $7,520,580
United Energy, Inc.   2004 CFTC $20,000
Western Gas Resources, Inc.   2004 CFTC $7,000,000
International Financial Services (New York) LLC   2004 CFTC $100,000,000
Barry Callebaut Sourcing AG Barry Callebaut food products 2004 CFTC $25,000
Olam International Limited Olam International agribusiness 2004 CFTC $20,000
Calpine Energy Services, L.P. Energy Capital Partners private equity (including portfolio companies) 2004 CFTC $1,500,000
Boston Trading Advisors, LLC   2003 CFTC $10,000
Republic New York Securities Corporation HSBC financial services 2001 CFTC $5,000,000
Currency Trading Systems   2001 CFTC $1,521,000
Peregrine Financial Group, Inc.   2000 CFTC $90,000
Farmers Cooperative Company   2000 CFTC $100,000
Sogemin Metals Inc.   2000 CFTC $500,000
First Options of Chicago, Inc.   2000 CFTC $163,000
International Monetary Metals, Inc.   2016 CFTC $9,800,000
Cindium Inc. and Einstein Exchange Group Inc.   2016 CFTC $601,000
My Global Leverage, LLC   2016 CFTC $1,465,528
JSC VTB Bank   2016 CFTC $5,000,000
Advantage Futures LLC   2016 CFTC $1,500,000
Advanced Trading Workshop, Inc.   2016 CFTC $940,000
SG Americas Securities, LLC Societe Generale financial services 2016 CFTC $750,000
Angus Partners LLC   2016 CFTC $250,000
The Yorkshire Group, Inc.   2016 CFTC $1,569,801
IB Capital FX, LLC   2016 CFTC $35,420,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2017 CFTC $900,000
Citigroup Global Markets Inc. Citigroup financial services 2017 CFTC $25,000,000
E*TRADE Securities LLC Morgan Stanley financial services 2017 CFTC $280,000
Davisco Foods International, Inc. Agropur food products 2017 CFTC $150,000
Vision Financial Partners, LLC   2017 CFTC $6,527,130
Oden Capital Management, LLC   2017 CFTC $100,000
Forex Capital Markets, LLC Jefferies Financial Group diversified 2017 CFTC $7,000,000
Guardian Asset Group, LLC   2017 CFTC $1,086,033
MakeYourFuture, LLC   2017 CFTC $1,207,294
Billionaire Investor Group, The Toole Group Inc., and?Catalyst Traders LLC   2017 CFTC $493,141
Assurance Capital Management, LLC   2017 CFTC $1,969,165
Rosenthal Collins Capital Markets, LLC   2017 CFTC $5,000,000
Marbury Advisors Inc.   2017 CFTC $4,441,652
Huafu HK Co. Ltd.   2017 CFTC $225,000
Wall Street Pirate Management, LLC   2017 CFTC $125,000
McVean Trading & Investments, LLC   2017 CFTC $1,500,000
North American Asset Management, LLC   2017 CFTC $1,626,189
K.B. Concepts Group, LLC   2017 CFTC $607,955
W Resources LLC   2017 CFTC $150,000
Copersucar Trading A.V.V.   2017 CFTC $300,000
Bank of Tokyo-Mitsubishi UFJ, Ltd. Mitsubishi Group diversified 2017 CFTC $600,000
INTL FCStone Financial Inc. StoneX Group financial services 2017 CFTC $280,000
Statoil ASA Equinor oil and gas 2017 CFTC $4,000,000
Cargill Inc. Cargill agribusiness 2017 CFTC $10,000,000
Arab Global Commodities DMCC   2017 CFTC $300,000
Logista Advisors LLC   2017 CFTC $250,000
Morgan Stanley Morgan Stanley financial services 2017 CFTC $500,000
Tillage Commodities, LLC   2017 CFTC $150,000
Merrill Lynch Bank of America financial services 2017 CFTC $2,500,000
Mintco LLC   2017 CFTC $250,000
FTS Financial, Inc.   2017 CFTC $4,800,000
AMP Global Clearing LLC   2018 CFTC $100,000
HSBC Securities (USA) Inc. HSBC financial services 2018 CFTC $1,600,000
UBS AG UBS financial services 2018 CFTC $15,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 CFTC $30,000,000
Williams Advisory Group, LLC   2018 CFTC $19,450,034
Maverick International, Inc.   2018 CFTC $8,605,274
Madigan Enterprises, Inc. et al.   2018 CFTC $3,589,913
Glencore Agriculture B.V.,   2018 CFTC $2,000,000
R.J. O'Brien & Associates LLC   2018 CFTC $600,000
Intrade The Prediction Market Limited (Intrade) and Trade Exchange Network Limited   2018 CFTC $3,000,000
Tallinex   2018 CFTC $10,971,279
Lansing Trade Group, LLC Lansing Trade Group financial services 2018 CFTC $3,400,000
TradeMasters USA, LLC   2018 CFTC $674,504
All City Investments, LLC   2018 CFTC $670,912
X-Change Financial Access LLC   2018 CFTC $150,000
Cifuentes Fund Management, LLC   2018 CFTC $2,227,120
Algointeractive Inc   2018 CFTC $962,200
Commerzbank AG Commerzbank financial services 2018 CFTC $12,000,000
Gelfman Blueprint, Inc.   2018 CFTC $2,408,734
Bank of Nova Scotia Scotiabank financial services 2018 CFTC $800,000
Kooima & Kaemingk Commodities, Inc.   2018 CFTC $13,170,857
Mizuho Bank, Ltd. Mizuho Financial financial services 2018 CFTC $250,000
Geneva Trading USA, LLC   2018 CFTC $1,500,000
Victory Asset   2018 CFTC $1,800,000
Global Asset Advisors LLC d/b/a Daniels Trading   2018 CFTC $300,000
Honouround (HK) International Trade Co. Ltd.?   2018 CFTC $300,000
NatWest Markets Plc NatWest Group PLC financial services 2018 CFTC $750,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2018 CFTC $160,000
Mobius Risk Group LLC   2018 CFTC $75,000
1pool Ltd.   2019 CFTC $421,000
Royal Leisure International, Inc. and Gold Chasers, Inc.   2019 CFTC $10,970,756
The Tulving Company, Inc.   2019 CFTC $15,761,432
Pishon Holding LLC   2019 CFTC $1,259,317
Newport Private Capital LLC   2018 CFTC $315,000
Wright Time Capital Group LLC   2018 CFTC $1,485,000
Phaetra Capital GP LLC, Phaetra Capital Management LP, and Argenta Group LLC   2018 CFTC $23,117,551
E-Slate, Inc.   2018 CFTC $11,183,497
Blackbox Pulse, LLC   2019 CFTC $2,712,807
Mark Olsen Mining Company   2019 CFTC $3,631,280
Apuro Holdings Ltd et al.   2019 CFTC $2,243,344
ADM Investor Services Inc. Archer Daniels Midland agribusiness 2019 CFTC $250,000
Eagle Market Makers, Inc.   2019 CFTC $350,000
Elephas Investment Management Ltd.   2019 CFTC $160,000
Essex Futures   2019 CFTC $500,000
Korea Exchange, Inc.   2019 CFTC $150,000
Lucrative Pips Corporation   2019 CFTC $2,694,799
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.