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Search in: US CFTC Enforcement Actions

Filtered: US CFTC Enforcement Actions United States

Search guide · Data current as of 2026-02-09

THE TORONTO-DOMINION BANK
Company · Person of interest · Regulator action · Canada · Singapore · Taiwan · United States
John McAfee
Person · Regulator action · Politician · United Kingdom · United States
Sam Bankman-Fried
Person · Regulator action · United States
Bank of Montreal
Company · Regulator action · Canada · United States
JPMorgan Chase Bank, N.A.
Company · Regulator action · United States
Wells Fargo Securities LLC
Company · Regulator action · United States
Caroline Ellison
Person · Regulator action · United States
Bank of New York Mellon
Company · Regulator action · United States
Morgan Stanley
Company · Regulator action · United States
BNP PARIBAS SECURITIES CORP
Company · Regulator action · United States
SG AMERICAS SECURITIES LLC
Company · Regulator action · United States
Eddy Alexandre
Person · Regulator action · United States
MERRILL LYNCH COMMODITIES INC
Company · Regulator action · United States
Michael Shannon Sims
Person · Regulator action · United States
ADM INVESTOR SERVICES, INC.
Company · Regulator action · United States
SCOTIA CAPITAL USA INC
Company · Regulator action · United States
Mizuho Capital Markets LLC
Company · Regulator action · United States
WEDBUSH SECURITIES INC
Company · Regulator action · United States
Interactive Brokers LLC
Company · Regulator action · United States
J.P. Morgan Securities LLC
Company · Regulator action · United States
ALLIANZ GLOBAL INVESTORS U.S. LLC
Company · Regulator action · United States
Alexander Spellane
Person · Regulator action · United States
Ikkurty Capital LLC
Company · Regulator action · United States
HSBC Securities (USA) Inc.
Company · Regulator action · United States
The Options Clearing Corporation
Company · Regulator action · United States