Violation Tracker Global

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Violation Tracker Global: Individual Record

Company: CIBC World Markets Corp.
Current Parent Company: Canadian Imperial Bank of Commerce
Parent at the Time of the Penalty Announcement: Canadian Imperial Bank of Commerce
Jurisdiction: United States
Region: North America
Penalty Currency: U.S. Dollar
Penalty Amount in Original Currency: 12,000,000
U.S. Dollar Equivalent at the Time of the Penalty Announcement: $12,000,000
Year: 2024
Date: September 24, 2024
Agency: Securities and Exchange Commission
Offense Group: financial offenses
Offense Category: investor protection violation
Description: The Securities and Exchange Commission announced settled charges against 12 firms, comprising broker-dealers, investment advisers, and one dually-registered broker-dealer and investment adviser, for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications in violation of recordkeeping provisions of the federal securities laws.
HQ Country of Current Parent: Canada
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking
Source of Data: (click here)
Archived Source: (click here)
Link to this record on U.S. Violation Tracker: here
VTG Record ID: VTG24-73130