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Violation Tracker Individual Record

Company: Jefferies LLC
Current Parent CompanyJefferies Financial Group
Parent at the Time of the Penalty Announcement subscribe to see this data field
Penalty: $3,918,000
Year: 2019
Date: December 9, 2019
Offense Group: financial offenses
Primary Offense: investor protection violation
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: diversified
Specific Industry of Current Parent: diversified
Source of Data(click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.