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.
- Key Docs
- Official SEC press release
