Violation Tracker Individual Record
Date:January 29, 2014
Primary Offense:data submission deficiencies
Scottrade agreed to pay $2.5 million to settle allegations of failing to provide the SEC with complete and accurate information about trades done by the firm and its customers, which is commonly called blue sheet data.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:Nebraska
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:financial services
Source of Data:
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