Violation Tracker Individual Record
Company:Mizuho Securities USA Inc.
Date:January 3, 2013
Offense Group:miscellaneous offenses
Primary Offense:data submission deficiencies
Secondary Offense:financial institution supervision failures
The U.S. Commodity Futures Trading Commission settled charges against Mizuho Securities USA Inc. for failing to provide timely notice to the CFTC of secured fund deficiencies for failing to diligently supervise its employees.
Level of Government:federal
Action Type:agency action
Agency:Commodity Futures Trading Commission
Civil or Criminal Case:civil
HQ Country of Parent:Japan
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking
Source of Data:
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