Violation Tracker Individual Record
Company:SG Americas Securities, LLC
Date:June 24, 2020
Offense Group:financial offenses
Primary Offense:investor protection violation
FINRA fined SG Americas Securities, LLC $1.55 million for submitting inaccurate trade data (known as blue sheets) to FINRA for more than seven years.
Level of Government:federal
Action Type:agency action
Agency:Financial Industry Regulatory Authority
Civil or Criminal Case:civil
HQ Country of Parent:France
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking
FINRA is a securities industry self-regulatory body authorized by the federal government.
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