Defendant Name: SG Americas Securities LLC

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matter of SG Americas Securities LLC and Yimin Ge
First Document Date 22-Dec-2015
Initial Filing Format Administrative Action
File Number 3-17017
Allegation Type Broker Dealer

Violations Alleged

Securities Act
• Sec 17(a) (Not specified)
Other
• Rule 17a-3(a)(2) Exchange Act
Additionally, Yimin Ge is alleged to have aided and abetted SG Americas Securities LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Yimin Ge is alleged to have caused SG Americas Securities LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Yimin Ge is alleged to have aided and abetted SG Americas Securities LLC's violation of Sec 17(a)(1) of the Securities Act (willfully/knowingly).
Yimin Ge is alleged to have caused SG Americas Securities LLC's violation of Sec 17(a)(1) of the Securities Act.
Yimin Ge is alleged to have aided and abetted SG Americas Securities LLC's violation of Sec 17(a)(3) of the Securities Act (willfully/knowingly).
Yimin Ge is alleged to have caused SG Americas Securities LLC's violation of Sec 17(a)(3) of the Securities Act.

Resolutions

First Resolution Date 22-Dec-2015
Headline Total Penalty and Disgorgement $1,011,093

Related Documents:

33-9999 22-Dec-2015 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
2015-287-SG Americas 22-Dec-2015 Press Release--Administrative Proceeding
Morgan Stanley Settles Charges in "Parking" Scheme

Other Defendants in Action:

Yimin Ge

Related Actions:

In the Matter of Morgan Stanley Investment Management Inc. and Sheila Huang
Morgan Stanley Investment Management Inc.
Sheila Huang