Violation Tracker Individual Record
Company:
Interactive Brokers LLC
Current Parent Company:
Interactive Brokers Group
Penalty:
$12,206,214
Year:
2020
Date:
August 10, 2020
Offense Group:
financial offenses
Primary Offense:
anti-money-laundering deficiencies
Secondary Offense:
financial institution supervision failures
Level of Government:
federal
Action Type:
agency action
Agency:
Commodity Futures Trading Commission
Civil or Criminal Case:
civil
HQ Country of Parent:
USA
HQ State of Parent:
Connecticut
Ownership Structure of Parent:
publicly traded
Major Industry of Parent:
financial services
Specific Industry of Parent:
stock brokerage
Source of Data:
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.
