Violation Tracker Individual Record
Company:
COR Clearing LLC
Penalty:
$800,000
Year:
2018
Date:
September 28, 2018
Offense Group:
miscellaneous offenses
Primary Offense:
data submission deficiencies
Level of Government:
federal
Action Type:
agency action
Agency:
Securities and Exchange Commission
Civil or Criminal Case:
civil
Source of Data:
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.
