Violation Tracker Individual Record

Company: 
Marwood Group Research LLC
Penalty: 
$375,000
Year: 
2015
Date: 
November 24, 2015
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

A political intelligence firm agreed to admit wrongdoing and pay a $375,000 penalty for compliance failures. Marwood Group Research LLC also agreed to retain an independent compliance consultant after an SEC investigation found that the firm failed to properly inform compliance officers about instances when analysts obtained potential material nonpublic information from government employees.

Level of Government: 
federal
Action Type: 
agency action
Agency: 
Securities and Exchange Commission
Civil or Criminal Case: 
civil
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.