sec whistleblower attorneys
September 27, 2019
GFI Securities LLC
Trading and Pricing
SANCTION AMOUNT: $4300000
Defendants: GFI Securities LLC
Settled administrative proceeding against Respondent interdealer broker charged with repeatedly disclosing customer identities to potential trading counterparties despite statements to customers that it generally maintained customer anonymity when brokering trades.
- Key Docs
- Official SEC press release
