Violation Tracker Individual Record
Company:Jefferies & Co., Inc.
Date:December 4, 2006
Offense Group:competition-related offenses
Primary Offense:kickbacks and bribery
Jefferies & Co., Inc. agreed to pay $4.2 million in disgorgement to settle allegations that two of its executives spent approximately $2 million on improper gifts, travel, entertainment and other gratuities given to win mutual fund trading business.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:New York
Ownership Structure of Parent:publicly traded
Major Industry of Parent:diversified
Specific Industry of Parent:diversified
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