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Violation Tracker Individual Record

Company: Tower Research Capital LLC
Penalty: $67,400,000
Year: 2019
Date: November 7, 2019
Offense Group: competition-related offenses
Primary Offense: fraud
Violation Description: Tower Research Capital entered into a deferred prosecution agreement in connection with a criminal information filed in the Southern District of Texas charging the company with one count of commodities fraud. Under the terms of the DPA, Tower agreed to pay a combined $67.4 million in criminal monetary penalties, criminal disgorgement and victim compensation with the criminal monetary penalty credited for any payments made to the Commodity Futures Trading Commission.
Level of Government: federal
Action Type: agency action
Agency: Justice Department Criminal Division
Civil or Criminal Case: criminal
Prosecution Agreement: deferred prosecution agreement
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.