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Violation Tracker Individual Record

Company: Mizuho Securities USA Inc.
Current Parent Company: Mizuho Financial
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $175,000
Year: 2013
Date: January 3, 2013
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: data submission deficiencies
Violation Description: The U.S. Commodity Futures Trading Commission settled charges against Mizuho Securities USA Inc. for failing to provide timely notice to the CFTC of secured fund deficiencies for failing to diligently supervise its employees.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: Japan
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking
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.