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Advanced SearchViolation Tracker Individual Record
Company: Guggenheim Securities, LLC
Penalty: $800,000
Year: 2012
Date: October 11, 2012
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: The Financial Industry Regulatory Authority fined Guggenheim Securities, LLC of New York $800,000 for failing to supervise two collateralized debt obligation (CDO) traders who engaged in activities to hide a trading loss.
Level of Government: federal
Action Type: agency action
Agency: Financial Industry Regulatory Authority
Civil or Criminal Case: civil
Source of Data:
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Notes: FINRA is a securities industry self-regulatory body authorized by the federal government.
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