Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Interactive Brokers, L.L.C.
Current Parent CompanyInteractive Brokers Group
Parent at the Time of the Penalty Announcement subscribe to see this data field
Penalty: $230,000
Year: 2002
Date: April 18, 2002
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: NASD Regulation, Inc., announced that it censured and fined Interactive Brokers, L.L.C., $230,000 for multiple violations, including order routing, Order Audit Trail System (OATS) reporting, record keeping and supervision violations.
Level of Government: federal
Action Type: agency action
Agency: Financial Industry Regulatory Authority
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: Connecticut
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: stock brokerage
Source of Data(click here)
Notes: FINRA is a securities industry self-regulatory body authorized by the federal government. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.