Violation Tracker Individual Record

Company: 
Dynamic Trading Management LLC
Penalty: 
$10,000
Year: 
2021
Date: 
July 26, 2021
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

The Securities and Exchange Commission announced that 21 investment advisers and 6 broker-dealers agreed to settle charges that they failed to timely file and deliver their client or customer relationship summaries known as Form CRS to their retail investors.

Level of Government: 
federal
Action Type: 
agency action
Agency: 
Securities and Exchange Commission
Civil or Criminal Case: 
civil
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.