Action against Respondent, a broker-dealer, for alleged incomplete and inaccurate regulatory filings.  The SEC alleges that Respondent failed to take reasonable steps to ensure that the securities transactions reported in its electronic “blue sheets” submissions contained complete and accurate information, such as customer identifying information, order execution times, and additional trade execution information.  Respondent has agreed to pay a civil penalty of $2.75 million.

SEC Order  

SEC Press Release