Violation Tracker Individual Record

Company: 
Mizuho Securities USA Inc.
Current Parent Company: 
Mizuho Financial
Penalty: 
$175,000
Year: 
2013
Date: 
January 3, 2013
Offense Group: 
miscellaneous offenses
Primary Offense: 
data submission deficiencies
Secondary Offense: 
financial institution supervision failures
Violation Description: 

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 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.