Defendant Name: MUFG Securities Americas Inc.

Defendant Type: Subsidiary of Public Company
Public Company Parent: Mitsubishi UFJ Financial Group, Inc.
SIC Code: 6029
CUSIP: 60682210

Initial Case Details

Legal Case Name In the Matter of MUFG Securities Americas Inc.
First Document Date 10-Dec-2018
Initial Filing Format Administrative Action
File Number 3-18914
Allegation Type Broker Dealer

Violations Alleged

Securities Act
• Sec 17(a)(1)
Other
• Rules 17a-4(j), 17a-25 Exchange Act

Resolutions

First Resolution Date 10-Dec-2018
Headline Total Penalty and Disgorgement $1,400,000

Related Documents:

34-84758 10-Dec-2018 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On December 10, 2018, the SEC issued an order against MUFG Securities Americas Inc., stating: "These proceedings arise out of MUSA's failure to submit to the Commission true and complete data in response to Commission staff electronic blue sheets ("EBS") requests, resulting in the reporting of EBS that was incomplete or deficient."
2018-275 10-Dec-2018 Press Release--Administrative Proceeding
Three Broker-Dealers to Pay More Than $6 Million in Penalties for Providing Deficient Blue Sheet Data
The SEC stated: "three brokerdealers have agreed to pay more than $6 million to settle charges for providing the SEC with incomplete and inaccurate securities trading information in required SEC productions known as "blue sheet data," which the SEC uses to carry out its enforcement and regulatory obligations, including the investigation of insider trading and other fraudulent activity."