Violation Tracker Individual Record
Company:Warburg Dillon Read LLC
Date:April 6, 2000
Primary Offense:securities issuance or trading violation
The SEC brought and settled civil administrative fraud charges against ten Wall Street and regional brokerage firms for overcharging municipalities for government securities in a practice commonly known as yield burning.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:Switzerland
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking & securities
Source of Data:
Source Notes:If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.