争议事件
以下收录公开来源中与该品牌相关的争议事件。列出一条并不表示过错已经证实。
返回词条共 1 条
2020
美国证交会对彭博Tradebook处以500万美元罚款
罚款或处罚
美国证交会因彭博Tradebook涉嫌订单路由行为及未披露执行场所信息而对其处以500万美元罚款。彭博Tradebook与监管机构达成和解，但既未承认也未否认相关指控。
来源摘录
The US securities regulator charged the agency broker with making misrepresentations about its buy-sell service, which it said allowed clients to think all their orders were filled by Tradebook’s “advanced” technology.
Bloomberg Tradebook settled with the securities regulator, neither admitting nor denying the charges.
An agency broker under Bloomberg LP was fined $5 million by the US Securities and Exchange Commission (SEC) for allegedly allowing unaffiliated broker/dealers to execute low-commission trades.