Violation Tracker Individual Record
Company:Macquarie Capital (USA) Inc.
Date:March 27, 2015
Offense Group:financial offenses
Primary Offense:investor protection violation
Macquarie Capital (USA) Inc. settled allegations of underwriting a public offering despite obtaining a due diligence report indicating that the China-based company's offering materials contained false information.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:Australia
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:financial services
Source of Data:
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