SEC
Whistleblower
Attorneys

August 10, 2020

Interactive Brokers LLC

Financial Fraud

SANCTION AMOUNT: $11500000

Defendants: Interactive Brokers LLC

According to the SEC’s Order, Respondent failed in its requirement to file Suspicious Activity Reports more than 150 times over a one-year period, particularly in regard to high-volume trading (relatively) of microcap securities in customer accounts that appeared manipulative. Respondent agreed to pay this sanction as a penalty, while simultaneously agreeing to similar penalties with FINRA and the CFTC in parallel actions.

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
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