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Violation Tracker Individual Record

Company: Botta Trading, LLC
Penalty: $75,000
Year: 2000
Date: June 12, 2000
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: Illinois-based Botta Trading, LLC, a regular and options member of the Amex and a member of the Chicago Board Options Exchange, was fined $75,000 following an investigation into its failure to supervise, monitor, and report critical information about employees.
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.