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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Nasdaq Inc.
Ownership Structure: publicly traded (ticker symbol NDAQ)
Headquartered in: New York
Major Industry: financial services
Specific Industry: financial services
Penalty total since 2000$16,285,923
Number of records: 4
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$16,285,9234
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$12,245,0003
economic sanction violation$4,040,9231
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below 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. The totals 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 list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYear sort iconAgencyPenalty Amount
Nasdaq, Inc.economic sanction violation2023OFAC$4,040,923
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCinvestor protection violation2013SEC$10,000,000
BRUT LLCinvestor protection violation2006FINRA$2,200,000
Brut, LLCinvestor protection violation2003SEC$45,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.