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Violation Tracker Individual Record

Company: Tullett Prebon Americas Inc.
Penalty: $13,000,000
Year: 2019
Date: September 13, 2019
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: The U.S. Commodity Futures Trading Commission issued two orders filing and settling charges against Tullett Prebon Americas Inc., an interdealer broker and CFTC-registered introducing broker headquartered in New Jersey. The combined orders required Tullett to pay a total of $13 million for failing to supervise employees and making false or misleading statements to CFTC staff.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading 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.