Violation Tracker Individual Record
Date:March 12, 2014
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:financial institution supervision failures
The Securities and Exchange Commission announced that Jefferies LLC settled allegations of with failing to supervise employees on its mortgage-backed securities desk who were lying to customers about pricing.
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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