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
Document Reference:
34-84758
Document Details
Legal Case Name
In the Matter of MUFG Securities Americas Inc.
Document Name
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
Document Date
10-Dec-2018
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
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."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$1,400,000.00
Shared:
