sec whistleblower attorneys
November 07, 2018
ITG Inc., AlterNet Securities Inc.
Trading and Pricing
SANCTION AMOUNT: $12000000
Defendants: ITG Inc., AlterNet Securities Inc.
Affiliated broker-dealer Respondents were charged with misstatements and omissions about the operation of dark pool, "POSIT." The Commission found that subscriber trading information was disclosed to other traders, despite assurances it would be kept confidential.
- Key Docs
- Official SEC press release