Violation Tracker Individual Record
Date:February 19, 2015
Offense Group:financial offenses
Primary Offense:investor protection violation
A New York City-based brokerage firm agreed to settle allegations that it fraudulently deceived other market participants while conducting auctions to liquidate collateralized debt obligations (CDOs).
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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