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Violation Tracker Individual Record

Company: Hold Brothers On-Line Investment Services
Penalty: $2,535,000
Year: 2012
Date: September 25, 2012
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: A New York-based brokerage firm agreed to pay more than $2.5 million to settle allegations of allowing traders outside the U.S. to access the markets and conduct manipulative trading through accounts the firm controlled.
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.