Violation Tracker Individual Record
Company:
D.H. Blair & Co.
Penalty:
$21,000,000
Year:
2002
Date:
March 8, 2002
Offense Group:
financial offenses
Primary Offense:
accounting fraud or deficiencies
Secondary Offense:
price-fixing or anti-competitive practices
Violation Description:
Brokerage firm D.H. Blair & Co. pleaded guilty to securities fraud and collusion to fix securities prices along with its four top managers, together having to pay $21 million in restitution to customers.
Level of Government:
local
Action Type:
agency action
Agency:
Manhattan (NY) District Attorney
Civil or Criminal Case:
criminal
Private Lawsuit Resolution Type:
verdict
Facility State:
New York
Facility County:
New York
Facility City:
New York
Source Notes:
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.
