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Violation Tracker Individual Record

Company: Citadel Securities LLC
Penalty: $22,600,000
Year: 2017
Date: January 13, 2017
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Citadel Securities LLC agreed to pay $22.6 million to settle charges that its business unit handling retail customer orders from other brokerage firms made misleading statements to them about the way it priced trades.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.