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Advanced SearchViolation Tracker Individual Record
Company: National Financial Services
Penalty: $350,000
Year: 2010
Date: May 13, 2010
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: The Financial Industry Regulatory Authority fined National Financial Services $350,000 for executing numerous short sale orders in violation of Regulation SHO and for related supervisory violations.
Level of Government: federal
Action Type: agency action
Agency: Financial Industry Regulatory Authority
Civil or Criminal Case: civil
Source of Data:
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Archived Source:
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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.
