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Violation Tracker Individual Record

Company: Sandler O'Neill & Partners, L.P.
Penalty: $10,571,428
Year: 2015
Date: January 5, 2015
Offense Group: consumer-protection-related offenses
Primary Offense: consumer protection violation
Secondary Offense: investor protection violation
Violation Description: Seven underwriters agreed to pay a total of $74 million to settle litigation alleging they misled investors about the financial condition of MF Global. Court documents did not specify how much each would pay. Here we assume they each paid an equal share of the total.
Level of Government: federal
Action Type: private litigation
Court: Southern District of New York
Civil or Criminal Case: civil
Case ID: 1:11cv7866
Case Name: Deangelis V. Corzine et al
Private Lawsuit Resolution Type: settlement
Source of Data: (click here)
Link to PACER Case Docket (must be logged in): (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.