Violation Tracker Individual Record
Company:BMO Capital Markets Corp.
Date:September 16, 2019
Offense Group:financial offenses
Primary Offense:investor protection violation
BMO Capital Markets agreed to pay $1.95 million to settle allegations of providing incomplete and inaccurate securities trading information to the SEC.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:Canada
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking
Source of Data:
Source Notes:If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.