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Violation Tracker Individual Record

Company: eBX LLC
Penalty: $800,000
Year: 2012
Date: October 3, 2012
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Dark pool operator eBX LLC agreed to pay $800,000 to settle allegations of failing to protect the confidential trading information of its subscribers and failing to disclose to all subscribers that it allowed an outside firm to use their confidential trading information.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.