SEC
Whistleblower
Attorneys

May 06, 2020

Bloomberg Tradebook LLC

Financial Fraud

SANCTION AMOUNT: $5000000

Defendants: Bloomberg Tradebook LLC

Respondent agreed to settle the SEC's administrative proceeding charging that it allowed three unaffiliated broker-dealers to route its customers' orders, primarily orders entered by customers who paid relatively low commission rates, without disclosing that Respondent was not routing the orders itself.

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