Violation Tracker Individual Record

Company: 
Sidoti & Company LLC
Penalty: 
$100,000
Year: 
2017
Date: 
February 13, 2017
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

The Securities and Exchange Commission announced that a New York-based brokerage firm agreed to pay a $100,000 penalty to settle charges of compliance and trading surveillance failures.

Level of Government: 
federal
Action Type: 
agency action
Agency: 
Securities and Exchange Commission
Civil or Criminal Case: 
civil
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.