Violation Tracker Individual Record
Date:June 6, 2014
Offense Group:financial offenses
Primary Offense:investor protection violation
A New York-based brokerage firm that operates a dark pool alternative trading system agreed to pay $2 million to settle allegations that it improperly used subscribers' confidential trading information in marketing its services.
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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