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Violation Tracker Individual Record

Company: ADM Investor Services, Inc.
Current Parent Company: Archer Daniels Midland
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $200,000
Year: 2009
Date: March 26, 2009
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: The U.S. Commodity Futures Trading Commission simultaneously filed and settled charges against ADM Investor Services, Inc. for violating rules governing post-execution allocations, maintenance of books and records, and supervision of its employees. The CFTC order sanctioned the company with a $200,000 civil monetary penalty.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: Illinois
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: agribusiness
Specific Industry of Current Parent: agribusiness
Source of Data: (click here)
Archived Source: (click here)
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.