Violation Tracker Individual Record
Company:Hold Brothers On-Line Investment Services
Date:September 25, 2012
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:securities issuance or trading violation
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:
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