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
Foreign Fund (a/k/a First Bank)   2008 CFTC $2,432,486
Sempra Energy Trading LLC Sempra Energy utilities and power generation 2008 CFTC $175,000
Rosenthal Collins Group, LLC   2008 CFTC $310,000
Philadelphia Alternative Asset Management Co.   2008 CFTC $8,800,000
First Lexington Group   2008 CFTC $2,466,063
Alaron Trading Corporation   2008 CFTC $299,000
E-Metal Merchants, Inc.   2008 CFTC $9,042,241
Forefront Investment Corporation   2008 CFTC $260,000
Aaristo Commodities and Futures DMCC   2008 CFTC $100,000
Rusfeldt Investments LLP   2008 CFTC $2,889,071
Executive Commodity Corp.   2008 CFTC $23,910,000
Galaxy Resources 2000, LLC   2008 CFTC $1,435,470
Supama International DMCC   2008 CFTC $164,680
MF Global Inc. MF Global financial services 2007 CFTC $2,000,000
Commercial Hedge Services, Inc.   2007 CFTC $325,000
FxTrade Financial, LLC   2007 CFTC $3,466,000
Millenium Trading Group, LLC   2007 CFTC $3,861,516
Worldwide Clearing, LLC   2007 CFTC $3,692,516
Cromwell Financial Services, Inc.   2007 CFTC $18,400,000
International Currency Exchange, Inc.   2007 CFTC $1,650,000
Banque CIAL   2007 CFTC $80,000
Longboat Global Funds Management   2007 CFTC $10,317,183
New York Options Exchange, Tahoe Futures, International Energy Exchange, Vitol Capital Management,New York Petroleum Option Exchange, HPR Commodities,   2007 CFTC $15,524,957
Interactive Brokers LLC Interactive Brokers Group financial services 2007 CFTC $175,000
Worldwide Forex, Inc. and Worldwide Commodity Corp.   2007 CFTC $4,200,000
American Energy Exchange and York Commodities   2007 CFTC $3,652,788
Liberty Financial Trading Corp., Inc. and Liberty Real Assets Investment Corporation   2007 CFTC $16,403,000
Century Maxim Fund and AJR Capital   2007 CFTC $22,500,000
Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc.   2007 CFTC $21,819,785
Man Financial Inc.   2007 CFTC $316,900
Premium Income Corp.   2007 CFTC $123,000,000
Acceleration Capital, LLC   2007 CFTC $218,000
Falco & Stevens, Inc.   2007 CFTC $4,724,607
Emerald Worldwide Holdings, Inc.   2006 CFTC $3,433,721
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services   2006 CFTC $19,555,041
Worldwide Commodity Corporation and South Coast Commodities, Inc.   2006 CFTC $14,700,000
Axess Trading Co., Inc.   2006 CFTC $569,437
International Investments Holdings Corp.   2006 CFTC $12,120,000
Risk Capital Trading Group, Inc   2006 CFTC $22,000,000
COES FX Clearing, Inc.   2006 CFTC $246,601
Nexgen Software Systems, Inc.   2006 CFTC $20,000
Wall Street Underground, Inc.   2006 CFTC $9,500,000
First American Investment Services, Inc.   2006 CFTC $8,983,388
Shell International Trading and Shipping Co. Royal Dutch Shell oil and gas 2006 CFTC $200,000
Veras Investment Partners, LLC   2005 CFTC $500,000
Trade Exchange Network Limited   2005 CFTC $150,000
Credit Lyonnais Rouse Limited Credit Agricole financial services 2005 CFTC $85,000
Armajaro Trading Limited   2005 CFTC $35,000
Warenhandelsgesellschaft Corinth, m.b.H.   2005 CFTC $25,000
Allegheny Gulf Investments, Inc   2005 CFTC $440,000
Hencorp Becstone Futures LC   2005 CFTC $50,000
E Net Speculation Ltd.   2004 CFTC $50,000
Credit Lyonnais Rouse Limited Credit Agricole financial services 2004 CFTC $25,000
Fimat International Banque SA   2004 CFTC $25,000
Refco Overseas Limited   2004 CFTC $25,000
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
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.