SCHWAB AGGREGATES, LLC — Violations

Total: 31 violations | S&S: 3 | Penalties: $6K

Date Section Title S&S Negligence Penalty
09/19/2023 56.14112(a)(1) Non-S&S HighNegligence $143
09/19/2023 56.14112(a)(1) Non-S&S LowNegligence $143
09/19/2023 56.11002 Non-S&S LowNegligence $143
03/17/2022 56.14132(a) Non-S&S ModNegligence $133
03/17/2022 56.20003(a) Non-S&S ModNegligence $133
03/17/2022 56.12028 Non-S&S ModNegligence $133
09/16/2021 50.30(a) Non-S&S ModNegligence $133
07/16/2021 50.30(a) Non-S&S ModNegligence $133
11/19/2020 47.41(a)(1) Non-S&S ModNegligence $123
10/04/2019 56.14132(b)(1)(i) Non-S&S LowNegligence $121
10/04/2019 56.14101(a)(2) Non-S&S LowNegligence $121
10/04/2019 56.14205 S&S ModNegligence $142
10/04/2019 56.12018 Non-S&S LowNegligence $121
06/20/2018 56.9300(a) S&S ModNegligence $286
09/20/2017 56.4402 Non-S&S LowNegligence $116
11/09/2016 56.4501 Non-S&S ModNegligence $114
11/09/2016 56.11001 Non-S&S ModNegligence $114
10/06/2015 56.18002(a) Non-S&S HighNegligence $176
10/06/2015 56.11012 Non-S&S LowNegligence $100
10/06/2015 56.11012 Non-S&S HighNegligence $162
10/06/2015 56.14112(a)(1) Non-S&S ModNegligence $100
10/06/2015 56.14112(b) Non-S&S ModNegligence $100
10/06/2015 56.14112(a)(1) Non-S&S ModNegligence $100
10/06/2015 56.14112(b) Non-S&S HighNegligence $807
06/06/2015 56.12016 S&S HighNegligence $2,000
06/05/2015 Non-S&S $0
04/23/2015 56.14103(b) Non-S&S ModNegligence $100
11/19/2013 56.12008 Non-S&S ModNegligence $100
11/01/2012 56.14201(b) Non-S&S ModNegligence $100
06/26/2012 56.12028 Non-S&S LowNegligence $100
06/25/2012 56.9300(a) Non-S&S ModNegligence $100