Violation Tracker Individual Record
Company:RBS Securities Inc.
Date:November 7, 2013
Offense Group:financial offenses
Primary Offense:toxic securities abuses
Secondary Offense:investor protection violation
The Securities and Exchange Commission announced the settlement of allegations that RBS Securities Inc., a subsidiary of the Royal Bank of Scotland plc, misled investors in a 2007 subprime residential mortgage-backed security offering.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:United Kingdom
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking & securities
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