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Violation Tracker Individual Record

Company: Scottrade
Current Parent CompanyCharles Schwab Corp.
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Recap of Ownership Changes subscribe to see this data field
Penalty: $2,500,000
Year: 2014
Date: January 29, 2014
Offense Group: miscellaneous offenses
Primary Offense: data submission deficiencies
Violation Description: 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 Current Parent: USA
HQ State of Current Parent: California
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
Source of Data(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.