Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Current Parent Company Summary

Current Parent Company Name: Jefferies Financial Group
Ownership Structure: publicly traded (ticker symbol JEF)
Headquartered in: New York
Major Industry: diversified
Specific Industry: diversified
Penalty total since 2000$88,745,464
Number of records: 19
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$84,474,58714
competition-related offenses$4,200,0001
safety-related offenses$70,8774
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$59,474,58713
toxic securities abuses$25,000,0001
kickbacks and bribery$4,200,0001
workplace safety or health violation$70,8774
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.

For an overview of assistance this company is receiving under the CARES Act, see its Covid Stimulus Watch summary page here.

Individual Penalty Records:

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

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon
Jefferies LLCinvestor protection violation2014SEC$25,000,000
Jefferies LLCtoxic securities abuses2014USAO$25,000,000
Forex Capital Markets LLCinvestor protection violation2011CFTC$14,200,000
Forex Capital Markets, LLCinvestor protection violation2017CFTC$7,000,000
Jefferies & Company, Inc.investor protection violation2006FINRA$5,500,000
Jefferies & Co., Inc.kickbacks and bribery2006SEC$4,200,000
Jefferies LLCinvestor protection violation2019SEC$3,918,000
Jefferies & Company, Inc.investor protection violation2011FINRA$1,925,000
Forex Capital Markets, LLCinvestor protection violation2015CFTC$843,922
Jefferies LLCinvestor protection violation2016SEC$500,000
Leucadia National Corporationinvestor protection violation2015DOJ_ANTITRUST$240,000
Jefferies LLCinvestor protection violation2022SEC$143,215
Forex Capital Markets Ltd.investor protection violation2011CFTC$140,000
Jefferies & Company, Inc.investor protection violation2008FINRA$50,000
IDAHO TIMBER OF CARTHAGE LLCworkplace safety or health violation2022OSHA$22,377
IDAHO TIMBER LLCworkplace safety or health violation2016OSHA$21,000
IDAHO TIMBER OF BOISE, LLCworkplace safety or health violation2017OSHA$16,000
Jefferies & Company, Inc.investor protection violation2006CT-SEC$14,450
IDAHO TIMBER OF BOISE, LLCworkplace safety or health violation2017OSHA$11,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.