Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Worldco, LLC
Penalty: $175,000
Year: 2002
Date: January 9, 2002
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: NASD Regulation, Inc. censured and fined Worldco, LLC of New York City $175,000 for violating NASD day trading rules.
Level of Government: federal
Action Type: agency action
Agency: Financial Industry Regulatory Authority
Civil or Criminal Case: civil
Source of Data: (click here)
Notes: FINRA is a securities industry self-regulatory body authorized by the federal government. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).
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.