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    Title Date Enforcement Year Company Country Primary Violation Regulator Fine Amount Fine Amount (USD)
    Interactive Brokers Fine - $11.8m - AML - OFAC - Jul-25 15 July 2025 2025 Interactive Brokers US Sanction Violations OFAC $11,832,136 $11,832,136
    Barclays Bank Fine - £39.3 - AML - FCA - Jul-25 14 July 2025 2025 Barclays GB AML FCA £39,314,700 $52,632,554
    Monzo Fine - £21M - Inadequate Oversight - FCA - Jul-25 07 July 2025 2025 Monzo GB Inadequate Oversight FCA £21,091,300 $28,677,503
    Jane Street Fine - $566.3m - Market Manipulation - SEBI - Jul-25 06 July 2025 2025 Jane Street US Market Manipulation SEBI ₹4,843,57,70,168 $566,300,00
    James "Jes" Staley Ban and Fine Upheld by Upper Tribunal - £1m - FCA - Jun-25 26 June 2025 2025 - GB Lack of Candour FCA £1,107,306 $1,522,246
    23andMe Fine - £2.3m - GDPR - ICO - Jun-25 05 June 2025 2025 23AndMe GB GDPR ICO £2,310,000 $3,171,780
    Macquarie Bank - ASIC Sues Macquarie for Misleading and Misreporting Short Sales - May 2025 14 May 2025 2025 Macquarie AU Trade Reporting ASIC - -
    Macquarie Bank - Additional License Conditions - ASIC - May 2025 07 May 2025 2025 Macquarie AU Trade Reporting ASIC - -
    Karen Pignet-Aiach, Gad Aiach, Michaël Chetrit and Mikostart Fine - €700,000 - AMF - May 2025 05 May 2025 2025 - FR Insider Trading AMF €700,000 $777,000
    DPP Law Fine - £60k - GDPR - ICO - April-25 14 April 2025 2025 DPP Law GB GDPR ICO £60,000 $82,449
    Advanced Computer Software Group Fine - £3m - GDPR - ICO - Mar-25 26 March 2025 2025 DPP Law GB GDPR ICO £3,076,320 $3,982,142
    London Metal Exchange (LME) Fine - £9,245,900 - FCA - March 2025 19 March 2025 2025 London Metal Exchange GB Inadequate Oversight FCA £9,245,900 $12,019,207
    Robinhood Fine - $26m - FINRA - Mar 2025 06 March 2025 2025 Robinhood US Inadequate Oversight FINRA $26,000,000 $26,000,000
    Cantor Fitzgerald Fine - €452,790 - Failure to Report Suspicious Transactions – Bank of Ireland - Feb 2025 27 February 2025 2025 Cantor Fitzgerald IE STOR Reporting Bank of Ireland €452,790 $473,663
    BigOption, BinaryBook, and BinaryOnline Fine - $451 Million - CFTC - Jan 2025 29 January 2025 2025 Big Option US Fraud CFTC $451,000,000 $451,000,000
    Infinox Capital Limited - Fine - FCA - Transaction Reporting Failures 27 January 2025 2025 Infinox GB Trade Reporting FCA £99,200 $123,578
    John Lowe, Randy Grewal, Richard Ringel, and David Cooper - Fine - SEC - $2.5M - Jan 2025 15 January 2025 2025 - US Insider Trading SEC $2,540,000 $2,540,000
    Robinhood Fine - $45M - SEC - Regulatory Violations - Jan 2025 13 January 2025 2025 Robinhood US Record Keeping SEC $45,000,000 $45,000,000
    EcoR1 Capital Fine - €10M - Marking the Close – AMF - Dec 2024 13 December 2024 2024 EcoR1 FR Marking the Close AMF €10,000,000 $10,473,500
    Eric Cobb/SeaCrest Fine - $375k - Cherry Picking – SEC - DEC 2024 12 December 2024 2024 Seacrest US Cherry Picking SEC $375,000 $375,000
    Netflix Fine - €4.7m - GDPR - AP (Dutch DPA) - Nov-24 26 November 2024 2025 Netflix NL GDPR AP €4,750,000 $4,962,562
    Ken Leech Charge - Unfair Allocations (Cherry-Picking) - SEC - Nov 2024 25 November 2024 2024 - US Cherry Picking SEC - -
    Macquarie Bank London Fine - £13m - Fictitious Trades - FCA - Nov 24 18 November 2024 2024 Macquarie GB Fictitious Trades FCA £13,031,400 $16,442,368
    Metro Bank Fine - £16.7m - Inadequate Transaction Monitoring - FCA - Nov 24 12 November 2024 2024 Metro Bank GB Inadequate Oversight FCA £16,675,200 $21,465,984
    WisdomTree Fine - $4M - ESG Fund Misstatements - SEC - Oct 24 15 October 2024 2024 Wisdomtree US Greenwashing SEC $4,000,000 $4,000,000
    Citadel Securities Fine - $1M - Trade Reporting – FINRA - Oct 2024 09 October 2024 2024 Citadel US Trade Reporting FINRA $1,000,000 $1,000,000
    Merrill Lynch Fine - $2m - Trade Reporting Errors - FINRA - Sep 2024 30 September 2024 2024 Merrill Lynch US Trade Reporting FINRA $2,000,000 $2,000,000
    Macquarie Bank Fine - $4.995M - Marking the Close - ASIC - Sep 24 24 September 2024 2024 Macquarie AU Marking the Close ASIC $4,995,000 AUD $3,446,550
    Independent Financial Group Fine - $500k - FINRA - Churning - Sep 2024 23 September 2024 2024 International Financial Group US Churning FINRA $500,000 $500,000
    CLSA Australia Fine - $144k - ASIC - Trade Reporting Errors - Aug 2024 29 August 2024 2024 CLSA AU Trade Reporting ASIC $144,300AUD $97,871
    Western International Securities Fine - $475k - FINRA - Churning - Jul 2024 29 July 2024 2024 Western International Securities US Churning FINRA $475,000 $475,000
    Biosynex Fine - €930k - Insider Trading – AMF - July 2024 25 July 2024 2024 Biosynex FR Insider Trading AMF €930,000 $100,8910
    Uber Fine - €290m - GDPR - AP (Dutch DPA) - Jul-24 22 July 2024 2024 Netflix NL GDPR AP €290,000,000 $316,056,500
    J.P. Morgan Securities Fine - $200m - Data Completeness - CFTC - May 2024 23 May 2024 2024 J.P. Morgan US Data Completeness CFTC $200,000,000 $200,000,000
    TD Securities Fine 2024 - Spoofing - $22.3m - SEC - Jan 24 18 January 2024 2024 TD Securities US Spoofing SEC $22,300,000 $22,300,000
    Bank of Nova Scotia Fine - $127.4M - Spoofing – Jan 2020 31 January 2020 2020 Bank of Nova Scotia US Spoofing CFTC $127,400,000 $127,400,000
    SAC Capital Advisors Fine - $1.8bn - Insider Trading - DOJ - Nov-13 04 November 2013 2013 SAC Capital Advisors US Insider Trading DOJ $1,800,000,000 $1,800,000,000
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