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About Us
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Securities Law Primer Eligibility Calculator SEC Insiders Guide SEC Whistleblower Handbook Sanctions Database FAQ

December 10, 2018

MUFG Securities Americas Inc.

Trading and Pricing

SANCTION AMOUNT: $1400000

Defendants: MUFG Securities Americas Inc.

Settlement of charges that Respondent broker-dealer provided the SEC with incomplete and deficient securities trading information known as “blue sheet data.”

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