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Violation Tracker Individual Record

Company: Macquarie Capital (USA) Inc.
Current Parent Company: Macquarie
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $2,950,000
Year: 2015
Date: December 23, 2015
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Financial Industry Regulatory Authority censured and fined Macquarie Capital (USA) Inc. $2.95 million for failing to provide complete and accurate trade data in an automated format when requested by the Securities and Exchange Commission.
Level of Government: federal
Action Type: agency action
Agency: Financial Industry Regulatory Authority
Civil or Criminal Case: civil
HQ Country of Current Parent: Australia
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
Source of Data: (click here)
Archived Source: (click here)
Notes: FINRA is a securities industry self-regulatory body authorized by the federal government.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.