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Violation Tracker Individual Record

Company: Scotia Capital Inc.
Current Parent Company: Scotiabank
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $250,000
Year: 2010
Date: January 28, 2010
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: Canada
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.