Defendant Name:
MUFG Securities Americas Inc.
Defendant Type:
Subsidiary of Public Company
Document Reference:
2018-275
Document Details
Legal Case Name
In the Matter of MUFG Securities Americas Inc.
Document Name
Three Broker-Dealers to Pay More Than $6 Million in Penalties for Providing Deficient Blue Sheet Data
Document Date
10-Dec-2018
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
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."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$1,400,000.00
Shared: