Violation Tracker Individual Record
Company:Linkbrokers Derivatives LLC
Date:August 14, 2014
Offense Group:financial offenses
Primary Offense:investor protection violation
New York-based brokerage firm Linkbrokers Derivatives LLC agreed to pay $14 million to settle allegations that it unlawfully took secret profits of more than $18 million from customers by adding hidden markups and markdowns to their trades.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
Source of Data:
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