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
File Number 3-18914
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:    

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."