Violation Tracker Individual Record

Company: 
BNP Paribas Securities
Current Parent Company: 
BNP Paribas
Penalty: 
$140,000
Year: 
2015
Date: 
October 20, 2015
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Secondary Offense: 
securities issuance or trading violation
Violation Description: 

The U.S. Commodity Futures Trading Commission issued an Order instituting and simultaneously settling charges against BNP Paribas Securities Corp. for violating the CFTC's Regulations governing concentration limits applicable to the investment of segregated commodity customer funds.

Level of Government: 
federal
Action Type: 
agency action
Agency: 
Commodity Futures Trading Commission
Civil or Criminal Case: 
civil
HQ Country of Parent: 
France
Ownership Structure of Parent: 
publicly traded
Major Industry of Parent: 
financial services
Specific Industry of Parent: 
banking
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.