DD Support Board and Research Team

[dloggold]

Well, this was at the end and although it is a window into the past , I would surmise it is a rather common "mistake "
Of course I could be wrong , I mean the SEC was right on top of Citigroup for fifteen years before the jumped all over them with the phat fine....

Just an observation from a wanna be Wall Street big wig failed sheepster:)

Other SEC cases involving failures to provide complete blue sheet data:

Credit Suisse Securities (USA) LLC paid a $4.25 million penalty in September 2015, admitting that technological and human errors resulted in the omission of more than 553,400 reportable trades from blue sheet responses to the SEC for more than two years.

OZ Management LP paid a $4.25 million penalty in July 2015, admitting that it provided inaccurate trade data to four of its prime brokers and caused blue sheet violations for nearly six years.

Scottrade paid a $2.5 million penalty in January 2014, admitting that a computer coding error resulted in the omission of trades from blue sheet responses to the SEC for more than six years.

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http://www.sec.gov/news/pressrelease/2016-138.html

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