Violation Tracker Individual Record
Company:Interactive Brokers LLC
Date:August 20, 2018
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:financial institution supervision failures
FINRA fined Interactive Brokers LLC $5.5 million for Regulation SHO violations and supervisory failures spanning a period of at least three years.
Level of Government:federal
Action Type:agency action
Agency:Financial Industry Regulatory Authority
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:Connecticut
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:stock brokerage
FINRA is a securities industry self-regulatory body authorized by the federal government.
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