Bloomberg Tradebook LLC: $5M Fine

Administrative Order imposing a $5 million civil money penalty against Bloomberg Tradebook LLC for “omissions of material facts and material misstatements made by Tradebook, then an agency broker-dealer, in connection with its use of an undisclosed order routing arrangement called the Low Cost Router”, before the U. S. Securities and Exchange Commission.

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Pages: 9

Date: May 06, 2020

Defendant(s)/Respondent(s): Bloomberg Tradebook LLC

Case Number: Xx Xx Xx

Topic: Investment, Regulatory

Plaintiff(s)/Applicant(s): U. S. Securities and Exchange Commission

Topics

Investment Regulatory USA

Keywords

Bloomberg Tradebook LLC U. S. Securities and Exchange Commission

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