Defendant Name:
SG Americas Securities LLC
Defendant Type:
Other
Document Reference:
33-9999
Document Details
Legal Case Name
In the Matter of SG Americas Securities LLC and Yimin Ge
Document Name
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
Document Date
22-Dec-2015
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Disgorgement
Individual:
$198,338.00
Shared:
Civil Penalty
Individual:
$800,000.00
Shared:
Pre-Judgment Interest
Individual:
$12,755.00
Shared:
Other Defendants in Action:
