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Violation Tracker Individual Record

Company: SG Americas Securities, LLC
Current Parent CompanySociete Generale
Parent at the Time of the Penalty Announcement subscribe to see this data field
Penalty: $1,550,000
Year: 2020
Date: June 24, 2020
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: 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 Current Parent: France
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking
Source of Data(click here)
Notes: FINRA is a securities industry self-regulatory body authorized by the federal government.
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.