Category Archives: SecondMarket Inc

SecondMarket, Inc. (Genesis Global Trading) Sanctioned $100,000 by Securities Regulator

December 23,2014

SecondMarket, Inc.  (Genesis Global Trading )entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2007-September 2010, the firm violated Exchange Act, FINRA and NASD Rules.

The violations related to record keeping and email archiving failures.

Case # 2011029759901

SecondMarket was censured  and fined $100,000.

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