SEC
Whistleblower
Attorneys

January 18, 2018

Industrial and Commercial Bank of China Financial Services LLC

Trading and Pricing

SANCTION AMOUNT: $1250000

Defendants: Industrial and Commercial Bank of China Financial Services LLC

Respondent broker-dealer agreed to settle charges that it repeatedly violated Rule 204 of Regulation SHO due to improper credit claims, incurring numerous, prolonged fails to deliver positions as required.

Thank you for submitting some email to us.