Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Mirae Asset Daewoo Co., Ltd.
Penalty: $700,000
Year: 2020
Date: January 13, 2020
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: spoofing
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.