Violation Tracker Individual Record
Company:A.G. Edwards & Sons, Inc.
Date:May 2, 2007
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:financial institution supervision failures
A.G. Edwards & Sons, Inc. agreed to pay $3.86 million to settle allegations that it to supervise some of its registered representatives who used deceptive means to place market timing trades on behalf of their customers.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:California
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking
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