Violation Tracker Individual Record

Company: 
D.H. Blair & Co.
Penalty: 
$21,000,000
Year: 
2002
Date: 
March 8, 2002
Primary Offense: 
accounting fraud or deficiencies
Secondary Offense: 
price-fixing or anti-competitive practices
Violation Description: 

Brokerage firm D.H. Blair & Co. pleaded guilty to securities fraud and collusion to fix securities prices along with its four top managers, together having to pay $21 million in restitution to customers.

Level of Government: 
local
Action Type: 
agency action
Agency: 
Manhattan (NY) District Attorney
Civil or Criminal Case: 
criminal
Private Lawsuit Resolution Type: 
verdict
Facility State: 
New York
Facility County: 
New York
Facility City: 
New York
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.