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Violation Tracker Individual Record

Company: Wolverine Trading LLC and Wolverine Asset Management LLC
Penalty: $1,153,303
Year: 2015
Date: October 8, 2015
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The SEC accused Wolverine Trading LLC and Wolverine Asset Management LLC of failing to maintain and enforce policies and procedures to prevent the misuse of material nonpublic information. The Chicago-based affiliates agreed to pay more than $1 million to settle the case.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.