Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: COES FX Clearing, Inc.
Penalty: $246,601
Year: 2006
Date: August 10, 2006
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
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.