Defendant Name:
Jefferies LLC
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Jefferies Financial Group Inc.
SIC Code:
5099
CUSIP:
47233W10
Document Reference:
34-87680
Document Details
Legal Case Name
In the Matter of Jefferies LLC
Document Name
Order Instituting Administrative Proceedings, Pursuant to Section 15(b)(4) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Document Date
09-Dec-2019
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
On December 9, 2019, the SEC instituted settled cease-and-desist proceedings against Jefferies Inc. The SEC stated: "These proceedings arise out of Jefferies' improper practices with respect to securities lending transactions involving pre-released American Depositary Receipts."
Disgorgement & Penalty Information
Resolutions
Censured
Cooperation Before the Resolution
Monetary Penalties:
Disgorgement
Individual:
$2,275,609.00
Shared:
Civil Penalty
Individual:
$1,251,584.95
Shared:
Pre-Judgment Interest
Individual:
$468,346.00
Shared:
