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Violation Tracker Individual Record

Company: TMC Bonds LLC
Penalty: $2,100,000
Year: 2019
Date: September 24, 2019
Offense Group: consumer-protection-related offenses
Primary Offense: privacy violation
Violation Description: TMC Bonds LLC, operator of an alternative trading system for fixed income securities, agreed to pay $2.1 million to settle charges arising from its failure to protect confidential subscriber information.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.