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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Virtu Financial
Ownership Structure: publicly traded (ticker symbol VIRT)
Headquartered in: New York
Major Industry: financial services
Specific Industry: financial services
Penalty total since 2000$97,170,197
Number of records: 8
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$97,170,1978
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$97,170,1978
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 TypeYearAgencyPenalty Amount sort icon
Knight Securities, L.P.investor protection violation2004SEC$66,500,000
Knight Securities, L.P.investor protection violation2004FINRA$12,500,000
Knight Capital Americas LLCinvestor protection violation2013SEC$12,000,000
Knight Financial Products, LLCinvestor protection violation2009SEC$2,040,000
Virtu Americas LLCinvestor protection violation2019SEC$1,500,000
Knight Securities L.P.investor protection violation2002FINRA$1,500,000
KCG Americas LLCinvestor protection violation2015SEC$1,055,197
Knight Securities, L.P.investor protection violation2002SEC$75,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.