Violation Tracker Individual Record

Company: 
Wolverine Trading LLC and Wolverine Asset Management LLC
Penalty: 
$1,153,303
Year: 
2015
Date: 
October 8, 2015
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

The SEC accused Wolverine Trading LLC and Wolverine Asset Management LLC of failing to maintain and enforce policies and procedures to prevent the misuse of material nonpublic information. The Chicago-based affiliates agreed to pay more than $1 million to settle the case.

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.