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Violation Tracker Individual Record

Company: Global Investment Strategy UK Ltd.
Penalty: $1,000,000
Year: 2022
Date: April 11, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The U.S. Securities and Exchange Commission obtained a final judgment against Global Investment Strategy UK Ltd. (GIS), a London, UK-based financial services firm, charged with clearing and settling billions of dollars of U.S. securities transactions without registering as a broker-dealer in violation of the federal securities laws.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.