Violation Tracker Individual Record
Company:Sidoti & Company LLC
Date:February 13, 2017
Offense Group:financial offenses
Primary Offense:investor protection violation
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 of Data:
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